David Jose Arias

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

• 10/2015 → 02/2017
  Deutsche Bank Securites Inc
  New York, NY
• 03/2018 → 05/2024
  Ubs Financial Services Inc.
  1200 Harbor Boulevard, NY
• 02/2017 → 03/2018
  Unemployed
  New York, NY
• 06/2024 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Previous Registrations

• 2018-05-15 → 2024-06-20
  Ubs Financial Services Inc.
  New York, NY
  Weehawken, NJ

Exams

• S66 Uniform Combined State Law Examination
  2018-05-10
• S63 Uniform Securities Agent State Law Examination
  2012-09-07

Other Names

• David Arias
• David J Arias