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 101–125 of 169. The CSV contains the complete table.

AdviserIndividual CRDSource snapshot dateFirst registration dateFirm in feedFirm CRDAdviser location
Mark A. Sides587611810/29/202610/28/2026Raymond James Financial Services Advisors, Inc.149018Denver, NC
Mark H. McCrary825029110/29/202610/28/2026Creative Planning105348Newport Beach, CA
Mark W. Kinsella792014910/29/202610/28/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691Martinez, CA
Marlon Kripzak799593010/29/202610/28/2026Strategic Advisers LLC104555New York, NY
Matthew A. Nemergut804795210/29/202610/28/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691Boston, MA
Matthew N. Martin830546510/29/202610/28/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691Charlotte, NC
Maximus R. Hull804386510/29/202610/28/2026Creativeone Securities, LLC152974Jefferson City, MO
Michael J. Wilkes831994310/29/202610/28/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691Riverside, RI
Michael R. Nance809077010/29/202610/28/2026Edward Jones250Frisco, TX
Michael T. Cavanaugh836275310/29/202610/28/2026Armstrong Advisory Group Inc.318662Needham, MA
Nallely Hinojos829857210/29/202610/28/2026Equitable Advisors, LLC6627Wichita, KS
Natalia T. Zager836225010/29/202610/28/2026Corient319448Philadelphia, PA
Nathan A. Wood830731810/29/202610/28/2026LPL Financial LLC6413Dallas, TX
Nathan J. Snyder764302410/29/202610/28/2026Park Avenue Securities LLC46173New York, NY
Nathan Stern808667810/29/202610/28/2026Columbia Management Investment Advisers, LLC108257Boston, MA
Ngoc P. P. Le783179710/29/202610/28/2026Empirical Wealth Management152622Irvine, CA
Nicholas C. Napoli826186710/29/202610/28/2026Blackrock Investment Management, LLC108928San Francisco, CA
Nicholas J. Livingstone755833910/29/202610/28/2026Morgan Stanley149777Boston, MA
Nicholas R. Schaben810518610/29/202610/28/2026Creativeone Securities, LLC152974Lisle, IL
Patrick Turner774086410/29/202610/28/2026Charles Schwab & Co., Inc.5393Indianapolis, IN
Paul C. Dozier685603110/29/202610/28/2026PCD Wealth Strategies341092Long Beach, CA
Peter J. Falker251564510/29/202610/28/2026Falker Investments Inc.115132Safety Harbor, FL
Peter Knapp836158610/29/202610/28/2026RMR Wealth Builders, Inc.169005Montclair, NJ
Peter R. Vargas696885410/29/202610/28/2026Empower Advisory Group, LLC112058Burlington, MA
Philip Devries835677610/29/202610/28/2026RBS Wealth Management336536Alto, MI

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