David Maltby Baker

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

• 06/1988 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Jacksonville, FL
• 12/2009 → Present
  Bank Of America, Na
  Jacksonville, FL

Other Businesses

I*109842 For profit or not for profit: Non-Profit Organization Name of outside business organization: Catholic Foundation Investment related: N Address of business: Jacksonville, Florida 32258 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 10/30/2017 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Fundraising and Membership I*2028262 , Entity Type: Fiduciary, Name of OBA: WLB? AND NMB JTWROS- Address: Saint Johns, Florida, 32259 Investment Related: YES Position, Title, Association: Power of Attorney Employee Start Date: 30-Sep-2024 No Hours: 1 per week No Hours during trading: 0 Duties:

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-09-26
• S63 Uniform Securities Agent State Law Examination
  1988-09-07