Juan-carlos Sapien
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
12 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
12 years in the industry.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 2021 to now
- Red Balloon Group Inc.Jul 2019 to now
- Coronado Country ClubOct 2020 to Mar 2021
- David Chincanchan CampaignOct 2020 to Nov 2020
- St. Edward's UniversityAug 2018 to Dec 2020
- Coronado Country ClubApr 2018 to Jul 2018
- Cathedral High SchoolJul 2014 to Apr 2018
Exams passed
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 2 states (NY, 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
- 7465909
- Firm CRD
- 7691