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Alexander J Davis

Other Names: Alexander James Davis
Firm:
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Type: Dual Registration
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Description

Alexander Davis a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 30,000 registered representatives nationwide. Alexander has held an industry securities registration for a year and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Alexander J Davis has not answered any questions on Financial Q&A.

Top Guides

Alexander J Davis has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
Other Pooled Investment Vehicles
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Bank of America, Na 1 year, 5 months Dec 2011 - Present
Merrill Lynch, Pierce, Fenner and Smith Inc. 1 year, 9 months Aug 2011 - Present
Self-Employed 1 year, 9 months Nov 2009 - Aug 2011
Opengate Capital 8 months Mar 2009 - Nov 2009
Self-Employed 9 months Jun 2008 - Mar 2009
Cappello Capital Corp. 5 months Jan 2008 - Jun 2008
Ubs Investment Bank 2 years, 3 months Oct 2005 - Jan 2008
UBS AG 2 years, 2 months Oct 2005 - Dec 2007
Uc Riverside 1 year, 11 months Jul 2003 - Jun 2005
Uc Riverside 4 years, 1 month Sep 2001 - Oct 2005
Full-Time Education 3 years, 9 months Sep 2001 - Jun 2005
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/15/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
05/15/2012
01/29/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 12/06/2011
General Securities Representative Examination Series 7 11/02/2011

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions