Jay B Alvarez

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-11-14
RI	RA	APPROVED	2024-11-13

TX RA
APPROVED_RES

Since 2024-11-14
RI RA
APPROVED

Since 2024-11-13

Branch Locations

670 George Washington Hwy Ci Client Services, Lincoln, RI 02865 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Lincoln	RI	06/2024	Present
Fish Co.	Providence	RI	03/2024	Present
The Strand Ballroom & Theatre	Providence	RI	04/2022	Present
Osl Retail Services	Multiple Locations	MA	09/2023	01/2024
Case Fms	Attleboro	MA	02/2021	10/2022
T-Mobile	Wilmington	MA	05/2018	11/2020
Spencer Technologies	Medway	MA	10/2019	01/2020
Polyurethane Molding Inc.	Woonsocket	RI	07/2016	03/2018
Anubis Limited Llc	Woonsocket	RI	06/2014	09/2016

06/2024 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lincoln, RI
03/2024 → Present

Fish Co.

Providence, RI
04/2022 → Present

The Strand Ballroom & Theatre

Providence, RI
09/2023 → 01/2024

Osl Retail Services

Multiple Locations, MA
02/2021 → 10/2022

Case Fms

Attleboro, MA
05/2018 → 11/2020

T-Mobile

Wilmington, MA
10/2019 → 01/2020

Spencer Technologies

Medway, MA
07/2016 → 03/2018

Polyurethane Molding Inc.

Woonsocket, RI
06/2014 → 09/2016

Anubis Limited Llc

Woonsocket, RI

Other Businesses

I*1901259, Entity Type, Entity for Profit, Name of OBA: The Strand Ballroom and Theatre, Address: Providence, RI, 02903, Investment Related: No, Position, Title, Association: Other, Employee Start Date: 10/01/2022, No Hours: 20hrs/Mo, No Hours during trading: 0, Duties: The location is a concert venue, I work security there.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-11-12

S66 Uniform Combined State Law Examination

2024-11-12

View on SEC IAPD