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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

JOHN MAURICE NEGRETE

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Roanoke, TX | NAPA, CA

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Search this name across graphsid dfx:ria:f7409c7d-c191-b841-bd95-c52736176a58

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 16, 2010 to Sep 15, 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: Nov 15, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 15, 2010
First registration: Nov 16, 2010
Dual registered: yes, broker-dealer
Other names: John Negrete|JOHN MAURICE NEGRETE
IAPD individual key: 5654139

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	Nov 16, 2018	n/a	yes	NAPA, CA\|Roanoke, TX	Current employment
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Apr 18, 2016	Nov 9, 2018	no	LAFAYETTE, CA	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Jan 15, 2016	Sep 22, 2016	no	LAFAYETTE, CA\|LAFAYETTE, CA\|SAN FRANCISCO, CA	Previous registration
Onedigital	Institutional manager	Jan 6, 2016	Apr 12, 2016	no	Lafayette, CA\|OVERLAND PARK, KS	Previous registration
SLW RETIREMENT PLAN ADVISORS	Former SEC adviser	Apr 26, 2013	Jan 20, 2016	no	LAFAYETTE, CA	Previous registration
M HOLDINGS SECURITIES, INC.	Bd affiliated wealth	Oct 4, 2012	Mar 12, 2013	no	LAFAYETTE, CA	Previous registration
M HOLDINGS SECURITIES, INC.	Bd affiliated wealth	Nov 16, 2010	Oct 1, 2012	no	TORRANCE, 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
KESTRA ADVISORY SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 9, 2018	Nov 16, 2018	7	Firm change	Ibd to wirehouse
NFP ADVISOR SERVICES, LLC	KESTRA ADVISORY SERVICES, LLC	Sep 22, 2016	Apr 18, 2016	-157	Bulk transfer	Other
Onedigital	NFP ADVISOR SERVICES, LLC	Apr 12, 2016	Jan 15, 2016	-88	Firm change after gap	Other
SLW RETIREMENT PLAN ADVISORS	Onedigital	Jan 20, 2016	Jan 6, 2016	-14	Firm change	Other
M HOLDINGS SECURITIES, INC.	SLW RETIREMENT PLAN ADVISORS	Mar 12, 2013	Apr 26, 2013	45	Firm change	Other

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Nov 16, 2018 to presentfactForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Apr 18, 2016 to Nov 9, 2018factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Jan 15, 2016 to Sep 22, 2016factForm ADV
→ ONEDIGITALRegistered adviserregistration: previous registration
Jan 6, 2016 to Apr 12, 2016factForm ADV
→ SLW RETIREMENT PLAN ADVISORSRegistered adviserregistration: previous registration
Apr 26, 2013 to Jan 20, 2016factForm ADV
→ M HOLDINGS SECURITIES, INC.Registered adviserregistration: previous registration
Oct 4, 2012 to Mar 12, 2013factForm ADV

Dated events

No dated event names this entity yet.