Vicki A Alva
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
10 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Bank of America, N.A.Nov 2024 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 2024 to now
- Gwfs Equities, Inc / Empower Financial Services, Inc.Jul 2022 to Aug 2024
- J.P. Morgan Securities LLCDec 2018 to Jun 2022
- JPMorgan Chase Bank, N.A.Dec 2018 to Jun 2022
- Mass Mutual Life Insurance CoAug 2018 to Dec 2018
- MML Investors Services, LLCAug 2018 to Dec 2018
- The Prudential Insurance Company of AmericaAug 2017 to Aug 2018
- Pruco Securities, LLCJan 2017 to Aug 2018
- UnemployedFeb 2016 to Jan 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2017
- Series 65 · Uniform Investment Adviser Law2022
State registrations
Registered as an investment adviser representative in 2 states (AK, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4637241
- Firm CRD
- 7691