Vicki A Alva

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

• 01/2017 → 08/2018
  Pruco Securities, Llc
  San Francisco, CA
• 08/2017 → 08/2018
  The Prudential Insurance Company Of America
  San Francisco, CA
• 02/2016 → 01/2017
  Unemployed
  Hayward, CA
• 08/2018 → 12/2018
  Mass Mutual Life Insurance Co
  San Ramon, CA
• 08/2018 → 12/2018
  Mml Investors Services, Llc
  San Ramon, CA
• 12/2018 → 06/2022
  Jpmorgan Chase Bank, N.A.
  Castro Valley, CA
• 12/2018 → 06/2022
  J.P. Morgan Securities Llc
  Castro Valley, CA
• 07/2022 → 08/2024
  Gwfs Equities, Inc / Empower Financial Services, Inc.
  Greenwood Village, CO
• 08/2024 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Juneau, AK
• 11/2024 → Present
  Bank Of America, N.A.
  Juneau, AK

Previous Registrations

• 2022-12-20 → 2024-08-15
  Empower Advisory Group, Llc
  Juneau, AK
  Juneau, AK
  Greenwood Village, CO

Exams

• S65 Uniform Investment Adviser Law Examination
  2022-10-14
• S63 Uniform Securities Agent State Law Examination
  2017-07-15

Other Names

• Vicki A.R. Brown
• Vicki A.R. Alva
• Vicki Alva
• Vicki Anne Roslyn Alva