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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

TODD JACOB DATES

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WAYNE, NJ

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Search this name across graphsid dfx:ria:efce03a1-525f-3437-50e3-7f993ab9db3e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 31, 2001 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: Jun 13, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 13, 2000
First registration: Jan 31, 2001
Dual registered: yes, broker-dealer
Other names: TODD J DATES
IAPD individual key: 3241609

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	Jul 22, 2016	n/a	yes	WAYNE, NJ	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 16, 2016	no	Morristown, NJ\|FAIRFIELD, NJ\|Little Falls, NJ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	May 28, 2008	Jun 1, 2009	no	NEW YORK, NY\|MORRISTOWN, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 28, 2004	Jun 12, 2008	no	WAYNE, NJ\|WAYNE, NJ\|LITTLE FALLS, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 31, 2001	Jun 2, 2004	no	WAYNE, NJ	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
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 16, 2016	Jul 22, 2016	-25	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY & CO. LLC	Jun 12, 2008	May 28, 2008	-15	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Jun 2, 2004	May 28, 2004	-5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:7691:NJ:2016-08-16	Aug 16, 2016	Jul 22, 2016	LITTLE FALLS, NJ	Firm change

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 31, 2001 to Jun 2, 2004factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 16, 2016factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
May 28, 2008 to Jun 1, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 28, 2004 to Jun 12, 2008factForm ADV

Dated events

No dated event names this entity yet.