DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SAN DIEGO, CA
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 | Dec 23, 2019 | n/a | yes | SAN DIEGO, CA | Current employment |
| RBC CAPITAL MARKETS, LLC | National bd RIA | Jan 10, 2014 | Dec 11, 2019 | no | SAN DIEGO, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 2, 2009 | Jan 16, 2014 | no | San Diego, CA|SAN DIEGO, CA|PURCHASE, NY | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | May 29, 2009 | Jul 23, 2009 | no | SAN DIEGO, CA|NEW YORK, NY | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Mar 3, 2009 | May 29, 2009 | no | SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| RBC CAPITAL MARKETS, LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Dec 11, 2019 | Dec 23, 2019 | 12 | Firm change | Ibd to wirehouse |
| MORGAN STANLEY | RBC CAPITAL MARKETS, LLC | Jan 16, 2014 | Jan 10, 2014 | -6 | Firm change | Wirehouse to ibd |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jul 23, 2009 | Jun 2, 2009 | -51 | Bulk transfer | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CITIGROUP GLOBAL MARKETS INC. | May 29, 2009 | May 29, 2009 | 0 | Firm change | Other |