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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:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-08-18
CA RA APPROVED 2016-02-08
  • TX RA
    APPROVED
    Since 2016-08-18
  • CA RA
    APPROVED
    Since 2016-02-08

Branch Locations

2555 E Camelback Rd, Phoenix, AZ 85016 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tucson AZ 09/2014 Present
Bank Of America, N.A. Tucson AZ 03/2015 Present
Other Businesses

I*132172 For profit or not for profit: For-Profit Organization Name of outside business organization: Lone Saguaro Group LLC Investment related: Y Address of business: Dallas, Texas 75206 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 8/1/2020 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Limited partner in LLC that will be focused on private real estate investments. II*692251 For profit or not for profit: Entity For Profit Name of outside business organization: Archie Capital LLC Investment related: N Address of business: Phoenix, Arizona, 85016 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 1/20/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Rental Property I*697246 For profit or not for profit: Entity For Profit Name of outside business organization: F1B Capital LLC Investment related: N Address of business: Phoenix, Arizona, 85016 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 1/24/2022 Number of hours devoted: 1 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , rental property management

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-05
  • S66 Uniform Combined State Law Examination
    2016-02-05
Other Names
  • Alex Stuchen
  • Alexander Jacob Stuchen

View on SEC IAPD

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