NEW ADVISERS

Merrill lists 22 of 169 first adviser registrations

The full roster covers source-reported first adviser registrations dated October 28, 2026. Merrill Lynch, Pierce, Fenner & Smith Incorporated is the listed firm for 22 people.

By Claire Bennett··1 min read

Merrill Lynch, Pierce, Fenner & Smith Incorporated is the listed firm for 22 of the 169 source-reported first adviser registrations dated October 28, 2026. The firm shown is the current source-listed affiliation, not necessarily where an adviser first registered.

Larry Rhabb is among those listed with Merrill. His source-reported first adviser registration date is October 28, 2026, and Charlotte, North Carolina, is listed as a branch location.

The branch location was observed in a source snapshot dated October 29, 2026, a separate date from Rhabb’s first registration. A listed branch does not establish residence or sole workplace.

Wells Fargo Clearing Services, LLC and LPL Financial LLC are each listed for nine people in the roster; Strategic Advisers LLC is listed for seven. The remaining 122 people are grouped under all other firms.

A first adviser registration does not establish a first industry job, first broker registration, new license, hiring date or career start.

First adviser registrations

The advisers below account for all 169 source-reported first adviser registrations on 10/28/2026. Firms and branches reflect affiliations currently reported for each adviser, which may differ from those at first registration. These dates do not establish hires or career starts, and branches do not establish residence or exclusive workplaces.

Showing rows 1–25 of 169. The CSV contains the complete table.

AdviserIndividual CRDSource snapshot dateFirst registration dateFirm in feedFirm CRDAdviser location
Abubakar S. Mohammed830990710/29/202610/28/2026Empower Advisory Group, LLC112058Tampa, FL
Adalia I. N. Bergeron833671710/29/202610/28/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691Bellingham, WA
Adriana A. Zapata815091910/29/202610/28/2026UBS Financial Services Inc.8174Boston, MA
Alan Anzai833496310/29/202610/28/2026Anzai Financial343874Sacramento, CA
Alana M. Woolison788209610/29/202610/28/2026T. Rowe Price Advisory Services, Inc.108958Colorado Springs, CO
Alejandro Soule800724110/29/202610/28/2026Charles Schwab & Co., Inc.5393Westlake, TX
Alexa M. Escareno816325410/29/202610/28/2026Raymond James Financial Services Advisors, Inc.149018Roseville, CA
Alexander R. Falenczykowski569107710/29/202610/28/2026Northwestern Mutual Investment Services, LLC2881Golden Valley, MN
Amit Mittal648396810/29/202610/28/2026AM Wealth Management341158Robbinsville, NJ
Ana R. Chirila768336610/29/202610/28/2026UBS Financial Services Inc.8174New York, NY
Andrea Tateo772130310/29/202610/28/2026UBS Financial Services Inc.8174Sacramento, CA
Andrew D. Ottavianelli829325810/29/202610/28/2026Morgan Stanley149777Leawood, KS
Andrew T. Hanson832719410/29/202610/28/2026Creative Planning105348Doylestown, PA
Anthony J. Vowles775323510/29/202610/28/2026Coldstream Wealth Management108805Bellevue, WA
Anthony R. Chaves668936010/29/202610/28/2026Interactive Financial Advisors125117Yonkers, NY
Ava E. Patronas808908210/29/202610/28/2026RBC Capital Markets, LLC31194Minneapolis, MN
Avery Buster822463510/29/202610/28/2026Ameriprise Financial Services, LLC6363Charlotte, NC
Brandon D. Camilo831719210/29/202610/28/2026Wells Fargo Clearing Services, LLC19616Raleigh, NC
Brandon Parker830693410/29/202610/28/2026LPL Financial LLC6413Chester, NY
Brendan M. Richardson821605710/29/202610/28/2026William Blair1252Boston, MA
Brian D. Cressman799850410/29/202610/28/2026Key Investment Services LLC136300Trexlertown, PA
Brian J. Greenberg453190710/29/202610/28/2026Six Oaks Advisory Partners LLC344123Phoenix, AZ
Bridget A. Sullivan831445010/29/202610/28/2026Vanguard Advisers, Inc.106715Charlotte, NC
Bridget M. DeChant823420310/29/202610/28/2026First Trust Advisors LP107027Wheaton, IL
Brittany Utley827487610/29/202610/28/2026Cetera Investment Advisers LLC105644St. Johns, FL

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