Albert Hutzler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Albert Hutzler, who also goes by Albert David Hutzler III, Albert David Hutzler, Jiggs Hutzler, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1977. Albert had worked at 6 firms and has passed the Series 65, Series 63, SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2015 - December 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 2015 - December 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2007 - March 16, 2015
UBS FINANCIAL SERVICES INC.
January 12, 2007 - March 16, 2015
UBS FINANCIAL SERVICES INC.
July 1, 2003 - January 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
September 7, 1999 - September 13, 1999
LEGG MASON WOOD WALKER, INCORPORATED
January 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 8, 1988 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 1, 1977 - January 22, 1988
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 9/6/1977
AMEX Put and Call ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
