Brock Clifford Miller

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

• 10/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Reno, NV
• 05/2011 → Present
  Bank Of America, N.A.
  Reno, NV

Previous Registrations

• 2004-08-30 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Reno, NV
  Las Vegas, NV
  Las Vegas, NV
  Reno, NV

Other Businesses

I*10094 For profit or not for profit: Name of outside business organization: Plumas Condo Investment related: Address of business: Reno, Nevada 89519 Nature of business: , Position, title, association: , Start date of relationship: 10/7/2020 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 Duties: I*2116310, Entity Type: Fiduciary, Name of OBA: O and M M Tr, Address: Sparks, Nevada, 89434, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 12/05/2024, No Hours: 12 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2178279, Entity Type: , Name of OBA: O E M Sr. & M A M Family Trust, Address: Sparks, Nevada, 89434, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 20-Oct-2024, No Hours: 10 Yearly, No Hours during Trading: 1 Yearly, Duties:

Exams

• S66 Uniform Combined State Law Examination
  2004-08-27
• S63 Uniform Securities Agent State Law Examination
  2002-05-16