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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

David Andrew Fohr

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLOTTE, NC | PENNINGTON, NJ | Charlotte, NC

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Search this name across graphsid dfx:ria:d4b98d8a-1711-a7e5-d7fe-354c6d3d2ca3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 11, 2005 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: Oct 20, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Oct 20, 1997
First registration: Mar 11, 2005
Dual registered: yes, broker-dealer
Other names: David Andrew Fohr|David Andrew Fohr|DAVID A FOHR|DAVID FOHR|David Andrew Fohr|DAVID ANDREW FOHR II|David Andrew Fohr|David Andrew Fohr
IAPD individual key: 2854217

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	Nov 2, 2021	n/a	yes	CHARLOTTE, NC\|PENNINGTON, NJ\|Charlotte, NC	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 26, 2017	Nov 2, 2021	no	CHARLOTTE, NC\|WEEHAWKEN, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 19, 2012	Apr 5, 2017	no	CHARLOTTE, NC\|ST. LOUIS, MO	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 5, 2011	Oct 17, 2012	no	FORT MILL, SC\|FORT MILL, SC	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 11, 2010	Aug 9, 2011	no	CHARLOTTE, NC	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 1, 2009	no	CHARLOTTE, NC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 11, 2005	Jun 1, 2009	no	CHARLOTTE, NC\|CHARLOTTE, NC	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 2, 2021	Nov 2, 2021	0	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Apr 5, 2017	Apr 26, 2017	21	Firm change	Wirehouse to wirehouse
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Oct 17, 2012	Nov 19, 2012	33	Firm change	Other
MSI FINANCIAL SERVICES, INC.	LPL FINANCIAL LLC	Aug 9, 2011	Aug 5, 2011	-4	Firm change	Other
MORGAN STANLEY	MSI FINANCIAL SERVICES, INC.	Oct 1, 2009	Aug 11, 2010	314	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (7)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Nov 2, 2021 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 26, 2017 to Nov 2, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 19, 2012 to Apr 5, 2017factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 5, 2011 to Oct 17, 2012factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 11, 2010 to Aug 9, 2011factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 1, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 11, 2005 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.