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Chad R Horton

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tucson, AZ

CRD 4249403

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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-01-14
CA RA APPROVED 2006-04-13
  • TX RA
    APPROVED_RES
    Since 2011-01-14
  • CA RA
    APPROVED
    Since 2006-04-13

Branch Locations

3500 E Sunrise Dr, Tucson, AZ 85718 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Tucson AZ 03/2000 Present
Bank Of America,N.A. Tucson AZ 06/2011 Present
  • 03/2000 → Present
    Merrill Lynch
    Tucson, AZ
  • 06/2011 → Present
    Bank Of America,N.A.
    Tucson, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-31
  • S66 Uniform Combined State Law Examination
    2000-10-31
Other Names
  • Chad R Horton
  • Chad Roger Maurice Horton

View on SEC IAPD

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IRONWOOD FINANCIAL, LLC · TUCSON, AZ
IRONWOOD FINANCIAL, LLC · TUCSON, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TUCSON, AZ

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