Michael SepulvedaCRD Number: 3029191
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Michael Sepulveda (CRD# 3029191) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Eastvale, CA and has over 17 years of experience in the finance industry.
Rs Crum Inc.
Ubs Financial Services Inc.
Eclectic Associates, Inc.
|Bank Of America, N.a.||Ontario, CA||Dec 2009 - Current||8|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Ontario, CA||Nov 2008 - Current||9|
|Sepulveda Landscape Development||Mira Loma, CA||Jun 2002 - Nov 2008||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2000|
|S66||NASAA Uniform Combined State Law Examination||Oct 2009|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management639,574MILLIONS
Total Number of Accounts1,831,494ACCOUNTS
Average Account Value$349,209
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
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