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

DANIEL STEPHEN SCHWARTZ

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY | New York, NY

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Search this name across graphsid dfx:ria:f7f4d4c7-e376-d7da-54a0-0e2dead49b14

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2006 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: Mar 2, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 2, 2004
First registration: Jan 3, 2006
Dual registered: yes, broker-dealer
Other names: DAN SCHWARTZ|DANIEL S SCHWARTZ|DANIEL STEPHEN SCHWARTZ|DAN S SCHWARTZ
IAPD individual key: 4746432

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	Dec 7, 2015	n/a	yes	NEW YORK, NY\|New York, NY	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 6, 2013	Mar 6, 2015	no	WEEHAWKEN, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 21, 2013	no	New York, NY\|New York, NY\|New York, NY	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 3, 2006	Apr 2, 2007	no	NEW YORK, NY\|NEW YORK, NY	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
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 6, 2015	Dec 7, 2015	276	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Aug 21, 2013	Aug 6, 2013	-15	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Dec 7, 2015 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 6, 2013 to Mar 6, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 21, 2013factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 3, 2006 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.