Anay Kumar Srivastava

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

• 07/2016 → 07/2019
  Wells Fargo Bank, Na
  Houston, TX
• 07/2016 → 07/2019
  Wells Fargo Clearing Services, Llc
  Houston, TX
• 07/2019 → 04/2023
  Jp Morgan Securities, Llc
  Houston, TX
• 07/2019 → 04/2023
  Jp Morgan Chase Bank, N.A.
  Houston, TX
• 04/2023 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
• 06/2023 → Present
  Bank Of America, N.A.
  Houston, TX

Previous Registrations

• 2019-09-13 → 2023-04-25
  J.P. Morgan Securities Llc
  Houston, TX
• 2016-08-10 → 2019-07-11
  Wells Fargo Clearing Services, Llc
  Houston, TX
  Houston, TX
  Houston, TX
• 2015-01-08 → 2016-03-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Norfolk, VA
• 2013-06-03 → 2013-12-06
  Investment Professionals, Inc.
  San Antonio, TX
• 2012-12-06 → 2013-06-04
  Braymen, Lambert And Noel Securities, Ltd.
  Irving, TX
• 2012-02-06 → 2012-06-29
  Hilltop Securities Inc.
  Dallas, TX
• 2010-05-12 → 2011-11-14
  Comerica Securities
  Dallas, TX
• 2004-04-30 → 2005-04-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
• 2003-01-02 → 2004-05-10
  Ubs Financial Services Inc.
  Sugarland, TX

Exams

• S66 Uniform Combined State Law Examination
  2002-12-19
• S63 Uniform Securities Agent State Law Examination
  1994-10-17