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Brandon Asher: Merrill Lynch Advisor Faces Complaint
A recent investor complaint against Westlake Village, California financial advisor Brandon Asher (CRD# 5924831) alleges that he made unsuitable recommendations. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of the Miller Asher Group.
Mr. Asher’s BrokerCheck report discloses one investor complaint. Filed in December 2023, it alleges that as a representative of Merrill Lynch, he recommended unsuitable investments in private securities. The pending complaint alleges unspecified damages of at least $5,000.
Merrill Lynch’s website includes a profile of Mr. Asher that describes him as co-founder and managing partner of the Miller Asher Group, a practice within the firm. As it states, he directs the practice’s “efforts to deliver our clients exclusive access to Merrill’s middle-market and investment banking advisory group, wealth strategists, alternative investments, family office services, insurance and specialty asset management services as well as coordination with clients’ external tax and legal partners.” Elsewhere, the website describes the practice’s approach to servicing ultra high net worth clients, which involves offering “institutional level access” to various investment strategies. “Many of these strategies and offerings may be exclusive to clients whose considerable resources and experience demands financial strategies designed to address their complex, wide ranging financial needs,” it states.
According to the Financial Industry Regulatory Authority, Brandon Asher holds 12 years of securities industry experience. Based in Westlake Village, California, he has been a broker and an investment advisor with Merrill Lynch since 2016. He was previously registered with Morgan Stanley in La Jolla, California from 2011 until 2016. His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He holds 33 state licenses. (Information current as of January 30, 2024.)
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