Horacio Miranda

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

Authority	Category	Status	Date
CA	RA	APPROVED	2013-01-28
TX	RA	APPROVED	2013-01-28

CA RA
APPROVED

Since 2013-01-28
TX RA
APPROVED

Since 2013-01-28

Branch Locations

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • United States

500 Newport Ctr Dr, Newport Beach, CA 92660 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chandler	AZ	09/2012	Present
Bank Of America, N.A.	Chandler	AZ	08/2014	Present

09/2012 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ
08/2014 → Present

Bank Of America, N.A.

Chandler, AZ

Other Businesses

I*1936281 Entity Type: Charitable Name of OBA: The Roman Catholic Diocese of Phoenix Address: Phoenix, Arizona Investment Related: No Position, Title, Association: Board Member Start Date:08/20/2024 No Hours: 3 Monthly No Hours during trading:3 Duties: As a board member of the Investment Management Committee, I assist in affirming the investments align with the ideological framework of the organization. I*: 2433288 Entity Type: Charitable Name of OBA: Arizona Talks Address: Phoenix, Arizona Investment Related: No Position, Title, Association: Board member Employee Start Date: 6/1/2025 Number of Hours: 3-4 hrs mthly Number of Hours during trading: 0 Duties: The organization encourages civil dialogue on topics and issues that are important to Arizona. My role as a board member is to to help guide the organization in programming

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-01-25

S66 Uniform Combined State Law Examination

2013-01-25

View on SEC IAPD