Vicki A Alva

CRD 4637241 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Juneau, AK

IA RegisteredBroker

Also appears in the source record as: Vicki A.R. Alva; Vicki Anne Roslyn Alva; Vicki Alva; Vicki A.R. Brown

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63Series 7TOSIESeries 6
Registered states (10): Alaska · Arizona · California · Idaho · Louisiana · Michigan · New Jersey · Oregon · Texas · Washington
Years in the industry (source record): 9
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Juneau, AK · IA capacity

Sep 15, 2024 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Juneau, AK · BC capacity

start not retrieved → present
Empower Advisory Group, LLC
IA capacity

Dec 20, 2022 → Aug 15, 2024
Empower Financial Services, Inc.
BD capacity

Jul 14, 2022 → Aug 15, 2024
J.P. Morgan Securities LLC
BD capacity

Dec 17, 2018 → Jun 24, 2022
Mml Investors Services, LLC
BD capacity

Aug 22, 2018 → Dec 11, 2018
Pruco Securities, LLC.
BD capacity

Jun 20, 2017 → Aug 15, 2018

Source & corrections

Where this page comes from

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