Rick Evan Mowdy

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

• 01/2015 → 12/2018
  Securian Financial Services Inc
  St Paul, MN
• 01/2015 → 12/2018
  Minnesota Life Insurance Co
  St Paul, MN
• 01/2015 → 12/2018
  Tax & Financial Group
  Newport Beach, CA
• 09/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Anaheim, CA
• 09/2019 → Present
  Bank Of America, N.A.
  Anaheim, CA
• 01/2019 → 09/2019
  Sure Co Health & Life
  Santa Ana, CA

Previous Registrations

• 2015-05-05 → 2018-12-14
  Securian Financial Services, Inc.
  Newport Beach, CA

Other Businesses

*MIHAYLO COLLEGE OF BUSINESS & ECONOMICS EXECUTIVE COUNCIL 35/35, FULLERTON, CA; NOT INVESTMENT RELATED; CO-CHAIR; 08/2018 TO PRESENT; 2 HR/MO WITH 2 HRS/MO DURING TRADING HRS.

Exams

• S66 Uniform Combined State Law Examination
  2015-04-10

Other Names

• Rick Mowdy
• Rick Evan Mowdy