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Alan James Coddington

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Palo Alto, CA

CRD 7883557

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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 2026-04-08
CA RA APPROVED 2026-02-12
  • TX RA
    APPROVED
    Since 2026-04-08
  • CA RA
    APPROVED
    Since 2026-02-12

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

3075A Hansen Way, Palo Alto, CA 94304 • 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
First Republic Bank San Mateo CA 04/2016 07/2023
Jp Morgan Chase San Mateo CA 08/2023 03/2024
Charles Schwab & Co., Inc. San Mateo CA 04/2024 01/2026
Charles Schwab Bank, Ssb San Mateo CA 04/2024 01/2026
Merrill Lynch, Pierce, Fenner & Smith Incorporated Palo Alto CA 02/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-02
  • S66 Uniform Combined State Law Examination
    2024-08-02
Other Names
  • Alan Coddington

View on SEC IAPD

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