Alex L Shannon

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	2012-06-05
MO	RA	APPROVED	2009-10-23

TX RA
APPROVED_RES

Since 2012-06-05
MO RA
APPROVED

Since 2009-10-23

Branch Locations

Washington, MO • United States

400 Chesterfield Ctr, Chesterfield, MO 63017 • 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Sunset Hills	MO	10/2009	Present
Bank Of America,N.A.	Chesterfield	MO	06/2011	Present

10/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sunset Hills, MO
06/2011 → Present

Bank Of America,N.A.

Chesterfield, MO

Previous Registrations

2002-04-24 → 2009-10-23

Banc Of America Investment Services, Inc.

Sunset Hills, MO

Sunset Hills, MO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-04-16
S63	Uniform Securities Agent State Law Examination	1993-05-04

S65 Uniform Investment Adviser Law Examination

2002-04-16
S63 Uniform Securities Agent State Law Examination

1993-05-04

Other Names

Alex Lee Shannon

View on SEC IAPD