Alexandra Fiona Babb

CRD 5896187 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Virginia Beach, VA

IA RegisteredBroker

Also appears in the source record as: Alexandra Babb; Alex Fiona Babb; Alex Babb; Alexandra F Johnson; Alex Johnson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (27): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Georgia · Hawaii · Kentucky · Louisiana · Maryland · Michigan · Missouri · New Hampshire · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · South Carolina · Texas · Virginia · Washington · West Virginia
Years in the industry (source record): 14
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5896187 contains one or more disclosure events as of Aug 20, 2026.

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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
Virginia Beach, VA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Virginia Beach, VA · BC capacity

start not retrieved → present
Oppenheimer & Co. Inc.
Virginia Beach, VA · IA capacity

Jan 27, 2022 → Feb 24, 2023
Oppenheimer & Co. Inc.
Virginia Beach, VA · BC capacity

Jan 24, 2022 → Feb 24, 2023
Private Advisor Group, LLC
Virginia Beach, VA · IA capacity

Jan 28, 2021 → Jan 28, 2022
Advice And Planning Services
Norfolk, VA · IA capacity

Jan 19, 2016 → Feb 24, 2020
Tiaa-Cref Individual & Institutional Services, LLC
Norfolk, VA · BC capacity

Jan 19, 2016 → Feb 24, 2020

Source & corrections

Where this page comes from

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