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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
CA RA APPROVED 1997-07-08
TX RA APPROVED_RES 1986-07-25
  • CA RA
    APPROVED
    Since 1997-07-08
  • TX RA
    APPROVED_RES
    Since 1986-07-25

Branch Locations

1020 Marsh St, San Luis Obispo, CA 93401 • 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 Bakersfield CA 08/1984 Present
Bank Of America, N.A. Bakersfield CA 08/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-01-15
S63 Uniform Securities Agent State Law Examination 1984-11-07
  • S65 Uniform Investment Adviser Law Examination
    2005-01-15
  • S63 Uniform Securities Agent State Law Examination
    1984-11-07
Other Names
  • Jeffrey A Showers
  • Jeffrey Alan Showers

View on SEC IAPD

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