Richard
Alexander

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#4497783
Investment Advisor
in Hendersonville, NC

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About this Advisor

Richard Alexander is a financial advisor based in Hendersonville, North Carolina, who has been in the financial industry for 19 years. Alexander is an employee of Merrill Lynch, Pierce, Fenner & Smith Inc. The advisor has gained experience at Wells Fargo Bank Na, Northwestern Mutual Investment Services, LLC, Northwestern Mutual Life Insurance Company, Wells Fargo Advisors LLC, Valmark Securities, Inc, Merrill Lynch, Pierce, Fenner & Smith Inc and Bank Of America, N.A. Alexander holds Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative, and is able to operate in North Carolina. Merrill Lynch, Pierce, Fenner & Smith Inc is a financial advisory business that has its headquarters in Hendersonville, North Carolina. The company has offices in 3,270 locations and a total of 36,383 advisors. It handles $962 billion in total assets between its 2,529,169 accounts, placing it among the largest firms in the nation by assets under management. The firm serves 4,927 charitable organizations. Of its 2,529,169 accounts, just 7% are held by high-net-worth investors who have at least $1 million in assets available to invest. Merrill Lynch, Pierce, Fenner & Smith Inc offers a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. Fees for financial advice largely depend on which services the firm provides the client. Fee types billed by Merrill Lynch, Pierce, Fenner & Smith Inc most likely include some combination of asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

19 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Other

Fee Structure

Percentage of Assets, Fixed Fees, Commissions

Disclosures

No

Office Location

707 N Main St
Hendersonville, NC 28792

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$962,052,205,321

NC Average: $7,464,549,021
Total Number of Employees

36,383

NC Average: 88
Total Number of Accounts

2,529,169

NC Average: 3,892
Average Account Size

$380,383

NC Average: $1,917,921

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Other

Richard Alexander Work History

Richard has 19 years of experience.

2018 - Present (3 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2018 - Present (3 years)

Bank Of America, N.A

2013 - 2018 (5 years)

Valmark Securities, Inc

2012 - 2013 (1 year)

Wells Fargo Bank Na

2012 - 2013 (1 year)

Wells Fargo Advisors LLC

2010 - 2012 (2 years)

Northwestern Mutual Investment Services, LLC

2002 - 2012 (10 years)

Northwestern Mutual Investment Services, LLC

2001 - 2012 (11 years)

Northwestern Mutual Life Insurance Company

Disclosures

Richard Alexander has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Merrill Lynch, Pierce, Fenner & Smith Inc

Katelyn Gallagher
Chandler, AZ
Jacob Church
Henderson, NV
Ryan Harrison
Pennington, NJ
Aniello Iazzetta
Concord, CA
Chor-Shing Chan
New York, NY
Jeffrey Petersen
Vero Beach, FL
Michael Mason
Holly Springs, NC
Rayan Hamze
Chandler, AZ

This content was compiled from the SEC and FINRA.

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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