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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CHARLOTTE, NC
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 | Jan 26, 2023 | n/a | yes | CHARLOTTE, NC | Current employment |
| LINDEN THOMAS ADVISORY SERVICES, LLC | Independent wealth | Jun 4, 2021 | Dec 5, 2022 | no | CHARLOTTE, NC | Previous registration |
| VANGUARD ADVISERS, INC. | Bd affiliated wealth | Nov 25, 2020 | Jun 8, 2021 | no | Charlotte, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LINDEN THOMAS ADVISORY SERVICES, LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Dec 5, 2022 | Jan 26, 2023 | 52 | Firm change | RIA to wirehouse |
| VANGUARD ADVISERS, INC. | LINDEN THOMAS ADVISORY SERVICES, LLC | Jun 8, 2021 | Jun 4, 2021 | -4 | Firm change | Ibd to RIA |