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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

MICHAEL ADAM GREENBERG

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:f036fdec-02a5-4e57-7fd3-42b2e9b136ec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 2, 2006 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: Mar 10, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S66
First exam: Mar 10, 2004
First registration: Aug 2, 2006
Dual registered: yes, broker-dealer
Other names: MICHAEL ADAM GREENBERG|Mike Greenberg|MICHAEL GREENBERG
IAPD individual key: 2694907

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	May 8, 2019	n/a	yes	SCOTTSDALE, AZ	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 7, 2014	Mar 4, 2019	no	MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|Minneapolis, MN	Previous registration
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	Asset manager	Nov 11, 2008	May 20, 2010	no	BOSTON, MA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 2, 2006	May 14, 2008	no	STAMFORD, CT	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
AMERIPRISE FINANCIAL SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 4, 2019	May 8, 2019	65	Firm change	Ibd to wirehouse
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	May 20, 2010	Jan 7, 2014	1,328	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	May 14, 2008	Nov 11, 2008	181	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
May 8, 2019 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 7, 2014 to Mar 4, 2019factForm ADV
→ COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCRegistered adviserregistration: previous registration
Nov 11, 2008 to May 20, 2010factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 2, 2006 to May 14, 2008factForm ADV

Dated events

No dated event names this entity yet.