Nicholas Edward Sweeney

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1987 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Denver, CO
• 09/2009 → Present
  Bank Of America, N.A.
  Denver, CO

Other Businesses

I*78135 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MOUNTAIN CABIN INVESTMENT RELATED: N ADDRESS OF BUSINESS: GRAND LAKE, COLORADO 80447 NATURE OF BUSINESS: OTHER,FAMILY ENJOYMENT POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/11/2006 NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: 1/3 OWNERSHIP NOT INVESTMENT RELATED

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-01-19
• S63 Uniform Securities Agent State Law Examination
  1988-01-18

Other Names

• Nicholas E Sweeney