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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

VIJAYLAKSHMI SHETTY

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PALO ALTO, CA

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Search this name across graphsid dfx:ria:f2914784-9562-846b-a12c-a983a8aebc32

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 12, 2007 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: Jul 11, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 11, 2007
First registration: Jul 12, 2007
Dual registered: yes, broker-dealer
Other names: VIJAY SHETTY
IAPD individual key: 5335075

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	Jun 30, 2017	n/a	yes	PALO ALTO, CA	Current employment
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Nov 30, 2016	Mar 27, 2017	no	PALO ALTO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 26, 2011	Nov 21, 2016	no	FREMONT, CA\|HALF MOON BAY, CA\|SACRAMENTO, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SANTA CLARA, CA\|FREMONT, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 24, 2009	Jun 11, 2010	no	WALNUT CREEK, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 10, 2008	Apr 8, 2009	no	San Jose, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 12, 2007	Sep 21, 2007	no	San Jose, 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
ADVICE AND PLANNING SERVICES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 27, 2017	Jun 30, 2017	95	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ADVICE AND PLANNING SERVICES	Nov 21, 2016	Nov 30, 2016	9	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 11, 2010	Oct 26, 2011	502	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MSI FINANCIAL SERVICES, INC.	Apr 8, 2009	Apr 24, 2009	16	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 26, 2011 to Nov 21, 2016factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Nov 30, 2016 to Mar 27, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 24, 2009 to Jun 11, 2010factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 10, 2008 to Apr 8, 2009factForm ADV

Dated events

No dated event names this entity yet.