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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

MATTHEW MOELLER

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ce136fa1-77e0-ec3c-59e0-3f004e8ae218

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 2, 2011 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S66
First exam: May 26, 2011
First registration: Jun 2, 2011
Dual registered: yes, broker-dealer
Other names: MATTHEW MOELLER|MATTHEW GARHARDT MOELLER
IAPD individual key: 5902056

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 21, 2022	n/a	yes	BEAUFORT, SC\|HILTON HEAD ISLAND, SC\|MOUNT PLEASANT, SC\|PONTE VEDRA BEACH, FL\|JACKSONVILLE, FL\|STATESBORO, GA\|SAINT SIMONS ISLAND, GA\|SAVANNAH, GA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 22, 2020	Nov 1, 2022	no	Brookfield, WI	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Dec 18, 2018	Apr 14, 2020	no	FRANKLIN, WI	Previous registration
ALLSPRING FUNDS MANAGEMENT, LLC	Asset manager	Dec 27, 2016	Nov 1, 2018	no	Menomonee Falls, WI	Previous registration
ALLSPRING FUNDS MANAGEMENT, LLC	Asset manager	Jun 2, 2011	Dec 31, 2014	no	MENOMONEE FALLS, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 1, 2022	Dec 21, 2022	50	Firm change	Wirehouse to wirehouse
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	UBS FINANCIAL SERVICES INC.	Apr 14, 2020	Apr 22, 2020	8	Firm change	Other
ALLSPRING FUNDS MANAGEMENT, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Nov 1, 2018	Dec 18, 2018	47	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Dec 21, 2022 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 22, 2020 to Nov 1, 2022factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Dec 18, 2018 to Apr 14, 2020factForm ADV
→ ALLSPRING FUNDS MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 27, 2016 to Nov 1, 2018factForm ADV

Dated events

Occurred
Nov 1, 2022
Advisor changed firm
Matthew Moeller left Ubs Financial Services Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-12-21)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ce136fa1-77e0-ec3c-59e0-3f004e8ae218
First observed: Jun 2, 2011
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MATTHEW MOELLER

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ce136fa1-77e0-ec3c-59e0-3f004e8ae218

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:05 PM UTC and rebuilt at most every 15 minutes.