Alejandro Tapia Farias
CRD Number: 6383970Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Alejandro Tapia Farias (CRD# 6383970) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Mcallen, TX and has over 9 years of experience in the finance industry.
CRD# 2683325
Stifel, Nicolaus & Company, Incorporated
CRD# 4390781
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 3169753
Ubs Financial Services Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Bank Of America, N.a. | Mcallen, TX | Oct 2016 - Current | 7 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mcallen, TX | Mar 2016 - Current | 8 |
| Jp Morgan Securities LLC | Mcallen, TX | Nov 2015 - Mar 2016 | < 1 |
| Jpmorgan Chase Bank | Mcallen, TX | Nov 2015 - Mar 2016 | < 1 |
| Jp Morgan Securities LLC | Houston, TX | Aug 2014 - Nov 2015 | 1 |
| Jpmorgan Chase Bank | Houston, TX | Aug 2014 - Nov 2015 | 1 |
| Unemployed | Houston, TX | Jul 2014 - Aug 2014 | < 1 |
| Santander Private Banking | Houston, TX | Jul 2013 - Jun 2014 | < 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Jun 2016 |
| S63 | Uniform Securities State Law Examination | Sep 2014 |
- TX
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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