James A Henriquez

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

• 03/2018 → 08/2021
  Kovack Securities, Llc
  Fort Lauderdale, FL
• 09/2017 → 12/2017
  Columbus Capital Lending
  Miami, FL
• 12/2014 → 08/2017
  Royal Bank Of Canada
  Fort Lauderdal, FL
• 06/2014 → 12/2016
  Dsh Jewelers
  Hollywood, FL
• 08/2021 → 05/2023
  Popular Mortgage
  Miami Lakes, FL
• 08/2021 → 05/2023
  Popular Investments
  Miami Lakes, FL
• 10/2021 → 05/2023
  Infinex Investments, Inc.
  Meriden, CT
• 05/2023 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Aventura, FL
• 08/2015 → 05/2017
  Florida International University
  Miami, FL

Previous Registrations

• 2021-10-18 → 2023-05-01
  Osaic Institutions, Inc.
  Miami Lakes, FL
• 2021-01-04 → 2021-08-23
  Kovack Advisors, Inc.
  Ft. Lauderdale, FL

Exams

• S66 Uniform Combined State Law Examination
  2020-09-30

Other Names

• James Alexander Henriquez