Diana A Rodriguez

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

• 03/2000 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Coral Gables, FL
• 12/2009 → Present
  Bank Of America, N.A.
  Coral Gables, FL

Other Businesses

I*576262For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: Key Largo, Florida, 33037Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 1/3/2022Number of hours devoted: 4 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I*1724299Entity Type: For ProfitName of OBA: VDGA Investments LLCAddress:Key Largo, FLInvestment Related:NoPosition, Title, Association:General Partner/Managing MemberEmployee Start Date:08/01/2022No Hours: 1 MonthlyNo Hours during trading:0Duties:This is an LLC sole owner for tax purposes, authorized signer only, no position. As wife of owner, should the property ever get sold I do share in the compensation and cost to sell. At present time the property is rented less than half the year and expenses (property taxes, insurance, assessments, and maintenance) exceeds rental income. I*3065278, Entity Type Entity For Profit, Name of OBA: DVGA Investments LLC Address: Port CharlotteFlorida33981 Investment Related: No Position, Title, Association: Other Employee Start Date:11/30/2025 No Hours: 2 monthly No Hours during trading: 0 Duties: To review statements, pay bills and receive rental income, Rental Property

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-06-04
• S63 Uniform Securities Agent State Law Examination
  2001-02-19

Other Names

• Diana A Lopez