Alexandre Maltez

CRD 6506116 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Winter Springs, FL

IA RegisteredBroker

Also appears in the source record as: Alex J Maltez; Alexandre Jesus Maltez; Alex Maltez; Alexandre J Maltez

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 24Series 66
Registered states (9): Alabama · Connecticut · Florida · Georgia · Massachusetts · New Jersey · New York · Pennsylvania · Texas
Years in the industry (source record): 10
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 6506116 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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Winter Springs, FL · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Winter Springs, FL · BC capacity

start not retrieved → present
Newbridge Financial Services Group, Inc.
Winter Park, FL · IA capacity

Sep 25, 2019 → Aug 1, 2022
Newbridge Securities Corporation
Winter Park, FL · BC capacity

Aug 23, 2019 → Aug 1, 2022
Corecap Investments, Inc.
Southfield, MI · BC capacity

Nov 13, 2018 → May 17, 2019
Corecap Advisors
Riverdale, NJ · IA capacity

Jul 9, 2018 → May 17, 2019
USA Financial Securities Corporation
Pompton Plains, NJ · IA capacity

Jan 4, 2017 → May 1, 2018
USA Financial Securities Corporation
Pompton Plains, NJ · BC capacity

Jan 3, 2017 → May 1, 2018
United Planners' Financial Services Of America A Limited Partner
Oak Ridge, NJ · IA capacity

Aug 11, 2015 → Dec 31, 2016
United Planners' Financial Services Of America A Limited Partner
Oak Ridge, NJ · BC capacity

Jul 3, 2015 → Dec 31, 2016

Source & corrections

Where this page comes from

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