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.

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

Jun 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S66

First exam

Mar 15, 2023

First registration

Mar 16, 2023

Dual registered

yes, broker-dealer

Other names

CORY DAVID SPENCER|Cory D Spencer

IAPD individual key

6436319

• Occurred

  Aug 23, 2023
  Advisor changed firm

  Cory David Spencer left Morgan Stanley for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-08-21)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:fb4e4aea-dace-8236-c37c-4635a955c0bd

First observed

Mar 16, 2023

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.