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Alfred Alden
ALFRED ERIC ALDEN, FREDDY ALDEN
CRD#: 4260712
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
PBIG - SAN FRANCISCO
SAN FRANCISCO, CA 94104
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2017 (9 years)2 FIRMS2021 - Present (3 years)BGOLDMAN, SACHS & CO. (CRD# 361)2001 - 2001 (<1 year)IASEPIO CAPITAL, LLC (CRD# 285645)2017 - 2018 (1 year)
License(s)

State Registrations

B
Alabama 6/21/2021

B
Montana 6/21/2021

B
Arizona 6/21/2021

B
Nevada 6/21/2021

B
California 5/14/2021

B
New Hampshire 6/21/2021

IA
California 5/14/2021

B
New Jersey 6/21/2021

B
Colorado 6/21/2021

B
New Mexico 6/30/2021

B
Connecticut 6/21/2021

B
New York 6/21/2021

B
Delaware 6/21/2021

B
North Carolina 6/21/2021

B
District of Columbia 6/21/2021

B
North Dakota 6/21/2021

B
Florida 6/21/2021

B
Ohio 6/22/2021

B
Georgia 6/21/2021

B
Oklahoma 6/21/2021

B
Hawaii 6/21/2021

B
Oregon 6/21/2021

B
Idaho 6/21/2021

B
Pennsylvania 6/21/2021

B
Illinois 6/21/2021

B
South Carolina 6/21/2021

B
Indiana 6/21/2021

B
South Dakota 6/21/2021

B
Iowa 6/21/2021

B
Tennessee 1/15/2025

B
Kansas 6/21/2021

B
Texas 6/21/2021

B
Kentucky 6/21/2021

IA
Texas 6/21/2021

B
Maine 6/21/2021

B
Utah 6/21/2021

B
Maryland 6/21/2021

B
Virginia 6/21/2021

B
Massachusetts 5/28/2021

B
Washington 6/21/2021

B
Michigan 11/1/2022

B
Wisconsin 6/21/2021

B
Minnesota 6/21/2021

B
Wyoming 6/21/2021

B
Missouri 6/21/2021

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST PBIG - SAN FRANCISCO, SAN FRANCISCO, CA 94104
Registered with this firm since 5/14/2021

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST PBIG - SAN FRANCISCO, SAN FRANCISCO, CA 94104
Registered with this firm since 5/12/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/15/2017 - 08/16/2018 SEPIO CAPITAL, LLC (CRD#:285645) SAN FRANCISCO, CA
IA
04/23/2008 - 05/18/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
B
04/23/2008 - 05/18/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
IA
12/03/2007 - 04/25/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN FRANCISCO, CA
B
11/19/2007 - 04/25/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN FRANCISCO, CA
B
01/30/2001 - 07/18/2001 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.