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Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
YORK, PA
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 | Aug 21, 2019 | n/a | yes | YORK, PA | Current employment |
| SANTANDER SECURITIES | Bd affiliated wealth | Sep 19, 2012 | Aug 20, 2019 | no | York, PA|YORK, PA|YORK, PA|Etters, PA|HELLAM, PA|HARRISBURG, PA|STEWARTSTOWN, PA|YORK, PA|PARKTON, MD|NEW CUMBERLAND, PA|PARKTON, MD|STEWARTSTOWN, PA|YORK, PA|NEW CUMBERLAND, PA|Bethlehem, PA|Harrisburg, PA|YORK, PA|Hershey, PA|NEW CUMBERLAND, PA|York, PA|NEW CUMBERLAND, PA|Carlisle, PA|YORK, PA|YORK, PA|Enola, PA|Carlisle, PA|CARLISLE, PA|Etters, PA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jun 22, 2010 | Sep 19, 2012 | no | YORK, PA|YORK, PA|FOREST HILL, MD|PARKTON, MD|YORK, PA|BEL AIR, MD|FOREST HILL, MD|HELLAM, PA|PARKTON, MD|YORK, PA|YORK, PA|YORK, PA|YORK, PA|HELLAM, PA|YORK, PA|PARKTON, MD|FOREST HILL, MD|BEL AIR, MD|YORK, PA|ETTERS, PA|HELLAM, PA | Previous registration |
| INVEST FINANCIAL CORPORATION | Former SEC adviser | Nov 17, 2008 | Feb 19, 2009 | no | DILLSBURG, PA|APPLETON, WI | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Sep 28, 2006 | Oct 21, 2008 | no | MECHANICSBURG, PA|ENOLA, PA | Previous registration |
| ON INVESTMENT MANAGEMENT CO | Bd affiliated wealth | Apr 21, 2004 | Jun 19, 2006 | no | MECHANICSBURG, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SANTANDER SECURITIES | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Aug 20, 2019 | Aug 21, 2019 | 1 | Firm change | Ibd to wirehouse |
| LPL FINANCIAL LLC | SANTANDER SECURITIES | Sep 19, 2012 | Sep 19, 2012 | 0 | Bulk transfer | Other |
| INVEST FINANCIAL CORPORATION | LPL FINANCIAL LLC | Feb 19, 2009 | Jun 22, 2010 | 488 | Firm change after gap | Other |
| CETERA ADVISOR NETWORKS LLC | INVEST FINANCIAL CORPORATION | Oct 21, 2008 | Nov 17, 2008 | 27 | Firm change | Other |
| ON INVESTMENT MANAGEMENT CO | CETERA ADVISOR NETWORKS LLC | Jun 19, 2006 | Sep 28, 2006 | 101 | Firm change | Other |