Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alvin? Claim Your ProfileAlvin Murgai is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in HOUSTON, TX. Alvin has been in the financial services industry since August 1991. Alvin is registered with the state of TEXAS. Alvin has passed the Series 63, Series 66, Series 7, Series 9, Series 10, and the SIE exam. Alvin specializes in helping individuals and businesses with their investment needs.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
01/04/1999 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
RI
01/22/1992 - 01/13/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NA
08/07/1991 - 01/13/1992
DERAND/PENNINGTON/BASS, INC.
BOTH
Issued 08/08/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/09/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/12/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/12/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 07/15/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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