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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

Edmundo Gerardo Fuentes

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LONE TREE, CO | SUGAR LAND, TX

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Search this name across graphsid dfx:ria:d16185a2-c689-5f8d-de43-566ddd2fc069

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 6, 2007 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: Feb 15, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Feb 15, 1994
First registration: Apr 6, 2007
Dual registered: yes, broker-dealer
Other names: ED FUENTES|EDMUND FUENTES|EMDUNDO GERARDO FUENTES|EDMUND GERARDO FUENTES|Edmundo Fuentes
IAPD individual key: 2429779

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	Jun 11, 2020	n/a	yes	LONE TREE, CO\|SUGAR LAND, TX	Current employment
NATIONWIDE INVESTMENT ADVISORS, LLC	Bd affiliated wealth	Sep 27, 2017	Apr 23, 2020	no	COLUMBUS, OH	Previous registration
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Apr 18, 2016	Aug 29, 2017	no	AUSTIN, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Jan 26, 2016	Sep 22, 2016	no	AUSTIN, TX	Previous registration
LINCOLN FINANCIAL DISTRIBUTORS, INC.	n/a	Nov 2, 2007	Aug 25, 2008	no	CHICAGO, IL\|AUSTIN, TX\|ALPHARETTA, GA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Apr 6, 2007	Sep 27, 2007	no	AUSTIN, TX	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
NATIONWIDE INVESTMENT ADVISORS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 23, 2020	Jun 11, 2020	49	Firm change	Ibd to wirehouse
KESTRA ADVISORY SERVICES, LLC	NATIONWIDE INVESTMENT ADVISORS, LLC	Aug 29, 2017	Sep 27, 2017	29	Firm change	Other
NFP ADVISOR SERVICES, LLC	KESTRA ADVISORY SERVICES, LLC	Sep 22, 2016	Apr 18, 2016	-157	Bulk transfer	Other
LINCOLN FINANCIAL DISTRIBUTORS, INC.	NFP ADVISOR SERVICES, LLC	Aug 25, 2008	Jan 26, 2016	2,710	Firm change after gap	Other
PRINCIPAL SECURITIES, INC.	LINCOLN FINANCIAL DISTRIBUTORS, INC.	Sep 27, 2007	Nov 2, 2007	36	Firm change	Other

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jun 11, 2020 to presentfactForm ADV
→ NATIONWIDE INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 27, 2017 to Apr 23, 2020factForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Apr 18, 2016 to Aug 29, 2017factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Jan 26, 2016 to Sep 22, 2016factForm ADV
→ LINCOLN FINANCIAL DISTRIBUTORS, INC.Registered adviserregistration: previous registration
Nov 2, 2007 to Aug 25, 2008factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Apr 6, 2007 to Sep 27, 2007factForm ADV

Dated events

No dated event names this entity yet.