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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

CURTIS GODT

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:e921b957-c8f9-7b84-2f64-0002b69d164e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 6, 2000 to Sep 14, 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: Apr 12, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 12, 1989
First registration: Jul 6, 2000
Dual registered: yes, broker-dealer
Other names: CURTIS GODT|CURTIS BRUCE GODT
IAPD individual key: 1929979

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	Sep 12, 2011	n/a	yes	SACRAMENTO, CA	Current employment
SORRENTO PACIFIC FINANCIAL, LLC	Former SEC adviser	Mar 9, 2011	Jul 28, 2011	no	SAN DIEGO, CA	Previous registration
EDWARD JONES	National bd RIA	Oct 1, 2009	Mar 8, 2011	no	FOLSOM, CA\|SACRAMENTO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jul 3, 2006	Jul 24, 2009	no	SACRAMENTO, CA	Previous registration
PIPER SANDLER & CO.	Institutional manager	Jul 6, 2000	Jul 10, 2006	no	SACRAMENTO, CA\|SACRAMENTO, CA	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
SORRENTO PACIFIC FINANCIAL, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 28, 2011	Sep 12, 2011	46	Firm change	Other
EDWARD JONES	SORRENTO PACIFIC FINANCIAL, LLC	Mar 8, 2011	Mar 9, 2011	1	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	EDWARD JONES	Jul 24, 2009	Oct 1, 2009	69	Firm change	Other
PIPER SANDLER & CO.	WELLS FARGO INVESTMENTS, LLC	Jul 10, 2006	Jul 3, 2006	-7	Firm change	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Sep 12, 2011 to presentfactForm ADV
→ SORRENTO PACIFIC FINANCIAL, LLCRegistered adviserregistration: previous registration
Mar 9, 2011 to Jul 28, 2011factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Oct 1, 2009 to Mar 8, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jul 3, 2006 to Jul 24, 2009factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Jul 6, 2000 to Jul 10, 2006factForm ADV

Dated events

No dated event names this entity yet.