• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Daniel A Fries
DANIEL AUSTIN FRIES
CRD#: 4052528
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BLASALLE FINANCIAL SERVICES, INC. (CRD# 20373)2000 - 2008 (8 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2000 - 2000 (<1 year)IALASALLE FINANCIAL SERVICES, INC. (CRD# 20373)2001 - 2008 (6 years)
License(s)

State Registrations

B
Alabama 7/28/2016

B
Michigan 10/23/2009

B
Alaska 6/25/2020

B
Minnesota 1/26/2018

B
Arizona 10/23/2009

B
Mississippi 3/9/2016

B
Arkansas 7/9/2013

B
Missouri 10/23/2009

B
California 10/23/2009

B
Montana 4/29/2022

B
Colorado 1/21/2010

B
Nevada 10/18/2018

B
Connecticut 10/23/2009

B
New Jersey 10/23/2009

B
Delaware 11/1/2012

B
New Mexico 12/4/2014

B
District of Columbia 3/22/2018

B
New York 10/23/2009

B
Florida 10/23/2009

B
North Carolina 10/27/2016

IA
Florida 10/23/2009

B
Ohio 10/23/2009

B
Georgia 10/23/2009

B
Oklahoma 7/24/2018

B
Hawaii 3/30/2022

B
Oregon 1/18/2012

B
Idaho 4/20/2018

B
Pennsylvania 10/10/2017

B
Illinois 10/23/2009

B
Rhode Island 3/2/2016

IA
Illinois 10/23/2009

B
South Carolina 2/7/2011

B
Indiana 10/23/2009

B
Tennessee 12/4/2012

IA
Indiana 10/23/2009

B
Texas 10/23/2009

B
Iowa 1/24/2017

IA
Texas 6/15/2012

B
Kansas 7/8/2021

B
Utah 9/19/2019

B
Kentucky 1/12/2023

B
Virgin Islands 7/23/2021

B
Louisiana 1/26/2018

B
Virginia 10/23/2009

B
Maine 7/22/2024

B
Washington 10/22/2018

B
Maryland 7/9/2013

B
Wisconsin 10/23/2009

B
Massachusetts 10/23/2009

B
Wyoming 12/8/2023

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
701 BRICKELL AVE, MIAMI, FL 33131
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
701 BRICKELL AVE, MIAMI, FL 33131
Registered with this firm since 10/23/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/24/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHICAGO, IL
B
10/24/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHICAGO, IL
IA
11/26/2001 - 10/24/2008 LASALLE FINANCIAL SERVICES, INC. (CRD#:20373) CHICAGO, IL
B
05/24/2000 - 10/24/2008 LASALLE FINANCIAL SERVICES, INC. (CRD#:20373) CHICAGO, IL
B
01/04/2000 - 07/11/2000 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.