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Merrill Lynch appears in two potential affiliation patterns; 9 potential adviser groups

Nine potential adviser groups were observed in registration records on November 3, 2026. Two patterns list Merrill Lynch as origin, with Morgan Stanley and Wells Fargo Clearing Services as candidate destinations; the records do not verify team transfers or employment changes.

By Maya Chen·Edition ·1 min read

Nine potential adviser groups were observed in registration records on November 3, 2026. A separate count for that observation date also lists 9 groups. Two patterns list Merrill Lynch, Pierce, Fenner & Smith Incorporated as the origin firm: one names Morgan Stanley and one names Wells Fargo Clearing Services, LLC as candidate destinations. These are potential affiliation patterns, not evidence of coordinated transfers or employment changes.

Other observed patterns include two people in a potential group listing LPL Financial LLC as a candidate destination and two in a potential group listing Ameriprise Financial Services, LLC. The records do not establish complete group membership or employment dates.

Potential adviser groups

The appendix lists all 9 potential affiliation groups on 11/03/2026 within the 11/03/2026–11/03/2026 source window. These entries describe potential affiliation patterns, not confirmed team transfers; names may be partial.

ObservedOrigin firm CRDDestination firm CRDObserved advisersSource-listed advisersClassification
11/03/202628128564132Sonya M. Coleman; Stephanie N. BoddifordPotential affiliation group; not a confirmed team transfer
11/03/20267691196165Yu H. Tan; Rose G. Raphael; Gerardo E. Lopez; Eduardo L. Garcia; Jon-Marc BlalockPotential affiliation group; not a confirmed team transfer
11/03/202676911497776Melanie P. Darrow; Antonio DaRoza; Richard O'Connor; Jenifer Sun; Justin Covey; Daniel BrunerPotential affiliation group; not a confirmed team transfer
11/03/202610564464132Brandon J. Turnbull; Ian P. ScheidemannPotential affiliation group; not a confirmed team transfer
11/03/20261698663632Eric Smith; Elizabeth ChakeresPotential affiliation group; not a confirmed team transfer
11/03/202617189864133Lisa M. Strohm; Maxwell Demeritte; Christopher N. NeedsPotential affiliation group; not a confirmed team transfer
11/03/202625037672Laurence C. Riseling; Thomas R. RiselingPotential affiliation group; not a confirmed team transfer
11/03/202680321473633Keith W. Carpenter; Adam C. Hutsell; Chad L. BergPotential affiliation group; not a confirmed team transfer
11/03/202679196162Abraham Jaimes; A'King IshmaelPotential affiliation group; not a confirmed team transfer

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