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Alec James Moulton

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Traverse City, MI

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-03-14
MI RA APPROVED 2018-01-19
  • TX RA
    APPROVED
    Since 2018-03-14
  • MI RA
    APPROVED
    Since 2018-01-19

Branch Locations

333 W Grandview Pkwy, Traverse City, MI 49684 • 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
OrganizationCityStateFromTo
Morgan Stanley Traverse City MI 06/2016 01/2018
Morgan Stanley Private Bank, N.A. New York NY 08/2016 01/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Traverse City MI 01/2018 Present
Bank Of America, N.A. Traverse City MI 01/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-28
  • S66 Uniform Combined State Law Examination
    2016-09-28
Other Names
  • Alec James Moulton
  • Alec Moulton

View on SEC IAPD

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Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · TRAVERSE CITY, MI
UP NORTH FINANCIAL, LLC · TRAVERSE CITY, MI
CHARLES SCHWAB & CO., INC. · Traverse City, MI
REHMANN WEALTH · TRAVERSE CITY, MI
G. A. REPPLE & COMPANY · Traverse City, MI
INDEPENDENT WEALTH MANAGEMENT, LLC · TRAVERSE CITY, MI
CHERRY TREE WEALTH MANAGEMENT, LLC · Traverse City, MI
PFS INVESTMENTS INC. · TRAVERSE CITY, MI

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