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Javier Malfavon

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Diego, CA

CRD 5243128

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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 2012-02-09
CA RA APPROVED 2010-11-10
  • TX RA
    APPROVED_RES
    Since 2012-02-09
  • CA RA
    APPROVED
    Since 2010-11-10

Branch Locations

701 B St, San Diego, CA 92101 • 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, Pierce, Fenner & Smith Incorporated San Diego CA 10/2010 Present
Bank Of America, N.A. San Diego CA 03/2015 Present
Previous Registrations
  • 2010-01-01 → 2010-10-15
    Ubs Financial Services Inc.
    San Diego, CA
    Weehawken, NJ
    San Diego, CA
  • 2007-01-09 → 2010-01-01
    Ubs International Inc.
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-08
  • S66 Uniform Combined State Law Examination
    2007-01-08
Other Names
  • Javier Gomez Malfavon
  • Javier Gomez
  • Javier Gomez Malfavon
  • Javier Gomez Malfavon

View on SEC IAPD

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