Alex Christopher Vazquez

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

• 11/2009 → 09/2017
  Wells Fargo Bank, N.A.
  Englewood, CO
• 10/2015 → 09/2017
  Wells Fargo Clearing Services, Llc
  Englewood, CO
• 06/2021 → 02/2025
  Jpmorgan Chase Bank, N.A.
  The Woodlands, TX
• 06/2021 → 02/2025
  J.P. Morgan Securities Llc
  The Woodlands, TX
• 09/2017 → 05/2021
  Wells Fargo Bank, N.A.
  Spring, TX
• 09/2017 → 05/2021
  Wells Fargo Clearing Services, Llc
  Spring, TX
• 02/2025 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  The Woodlands, TX
• 03/2025 → Present
  Bank Of America, N.A
  The Woodlands, TX

Previous Registrations

• 2021-07-02 → 2025-02-25
  J.P. Morgan Securities Llc
  The Woodlands, TX
  The Woodlands, TX
• 2018-01-09 → 2021-06-04
  Wells Fargo Clearing Services, Llc
  Englewood, CO
  Greenwood Village, CO
  Kingwood, TX
  Humble, TX
  Houston, TX
  Kingwood, TX
  Houston, TX
  Humble, TX

Exams

• S66 Uniform Combined State Law Examination
  2018-01-08
• S63 Uniform Securities Agent State Law Examination
  2015-12-03

Other Names

• Alex Vazquez