Alexander J Broughton

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

• 10/2023 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Minneapolis, MN
• 05/2021 → 09/2023
  Hach - A Danaher Company
  Loveland, CO
• 08/2020 → 04/2021
  Equipment Depot - A Mitsubishi Company
  Houston, TX
• 09/2017 → 07/2020
  Exterran
  Houston, TX
• 01/2012 → 08/2017
  Pentair
  Houston, TX
• 03/2025 → Present
  Bank Of America, N.A.
  Minneapolis, MN

Other Businesses

I*2887280 Entity Type: N/A Name of OBA: W.T.B. III RVCBL TRUST Address: Minneapolis Minnesota Investment Related: No Position, Title, Association: Power of Attorney Start Date:09/17/2025 No Hours: 0.5 Monthly No Hours during trading:0 Duties: Power of Attorney for Parents I*4692277 Entity Type: Fiduciary role Name of OBA: MLPF& S CUST FPO P. A B. RRA FBO P. A B. Address: San Diego, California, 92130 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/11/2026 Number of Hours: 1, Yearly Number of Hours during trading: 0 Duties: Power of Attorney/Spouse

Exams

• S66 Uniform Combined State Law Examination
  2024-06-26