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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NEWPORT BEACH, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 17, 2023 | n/a | yes | NEWPORT BEACH, CA | Current employment |
| VANGUARD ADVISERS, INC. | Bd affiliated wealth | Apr 25, 2022 | Jan 11, 2023 | no | Scottsdale, AZ | Previous registration |
| EDWARD JONES | National bd RIA | Oct 20, 2020 | Jan 12, 2021 | no | ST LOUIS, MO|Irvine, CA|IRVINE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| VANGUARD ADVISERS, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jan 11, 2023 | Apr 17, 2023 | 96 | Firm change | Ibd to wirehouse |
| EDWARD JONES | VANGUARD ADVISERS, INC. | Jan 12, 2021 | Apr 25, 2022 | 468 | Firm change after gap | Ibd to ibd |