DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Nicholas M Sheridan

Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseWest Hartford, Ctdual registrantIAPD 5348570

Feed of 09/14/2026

Also filed as Nicholas Michael Sheridan

At current firm

0 y

since Aug 31, 2026

In the industry

19 y

since May 1, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse current
since Aug 31, 2026 · West Hartford, Ct
Commonwealth Financial Network national BD
Mar 30, 2021 to Sep 11, 2026 · West Hartford, Ct
M Holdings Securities, Inc. BD affiliated
May 23, 2017 to Apr 1, 2021 · West Hartford, Ct
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Dec 14, 2007 to May 22, 2017 · West Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

Commonwealth Financial Network to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Sep 11, 2026, registered Aug 31, 2026 (-11 days) · Affiliated broker-dealer or bank to wirehouse
M Holdings Securities, Inc. to Commonwealth Financial Network
left Apr 1, 2021, registered Mar 30, 2021 (-2 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to M Holdings Securities, Inc.
left May 22, 2017, registered May 23, 2017 (1 days) · Other

Signals

Nicholas M Sheridan left Commonwealth Financial Network for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-08-31)
Sep 11, 2026 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address