Louie Anthony Vargas

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2014 → 09/2018
  Ubs Financial Service Inc
  San Deigo, CA
• 10/2011 → 12/2019
  Ubs Financial Services Inc
  Los Angeles, CA
• 01/2020 → 03/2020
  Ubs Financial Service Inc
  Pasadena, CA
• 03/2020 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Riverside, CA
• 02/2025 → Present
  Bank Of America, N.A.
  Riverside, CA

Previous Registrations

• 2011-12-02 → 2020-04-02
  Ubs Financial Services Inc.
  Santa Barbara, CA
  Pasadena, CA
  San Diego, CA
  Houston, TX
  Pasadena, CA
• 2005-09-05 → 2011-11-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
  Los Angeles, CA
  Brea, CA
  Beverly Hills, CA
  Los Angeles, CA
  Brea, CA
  Westlake Village, CA

Other Businesses

I*4055268, Entity Type: Entity Charitable, Name of OBA: Immaculate Conception STEM Academy , Address: Monrovia, California, 91016, Investment Related: N, Position, Title, Association: Committee, Employee Start Date: 04/13/2026, No Hours: 5 Weekly, No Hours during Trading: 0 Weekly, Duties: Help identify fund raising opportunities, reaching out to the community to create sponsorship opportunities, and make overall recommendations on business decisions. Catholic School

Exams

• S66 Uniform Combined State Law Examination
  2005-09-03

Other Names

• Louis Vargas
• Louis Anthony Vargas