Dwayne Allan Ross

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

• 12/2012 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Plantation, FL
• 03/2013 → Present
  Bank Of America, N.A.
  Plantation, FL

Previous Registrations

• 2009-06-01 → 2012-12-20
  Morgan Stanley
  Plantation, FL
• 1999-09-10 → 2009-06-01
  Citigroup Global Markets Inc.
  Plantation, FL
  Plantation, FL

Other Businesses

I*62279For profit or not for profit: For-Profit OrganizationName of outside business organization: DR2 Properties, LLCInvestment related: NAddress of business: Davie, Florida 33324Nature of business: LLC,Position, title, association: , Start date of relationship: 3/1/2013Number of hours devoted: 0 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: LLC formed to own a property that my wife and I bought. I*59516FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SECOND HOMEINVESTMENT RELATED: NADDRESS OF BUSINESS:ASPEN CO 81611NATURE OF BUSINESS: OTHER SECOND HOME/RENTALPOSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 5/27/2011NUMBER OF HOURS DEVOTED: 0 MONTHLY HOUR(S)NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: SECOND HOME/RENTALI*495For profit or not for profit: Name of outside business organization: Second home-The GantInvestment related: Address of business:aspen, Colorado 81611Nature of business: ,Position, title, association: , Start date of relationship: 5/27/2011Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0Duties: I* 1747285 For profit or not for profit: Entity For Profit Name of outside business organization: Duree & Co. Investment related: no Address of business: Cooper City, FL, 33328 Nature of business: Corporation Position, title, association: Other Start date of relationship: 09/14/2022 Number of hours devoted: 0 yearly Number of hours devoted during trading hours: 0 Duties: Im a signer only on my wife business checking account with BoA, beyond which i have no rolls or responsibilities with her company.

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-12-29
• S63 Uniform Securities Agent State Law Examination
  1988-09-28