Marc Filipe Rosa

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

• 07/2002 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 09/2009 → Present
  Bank Of America,Na
  New York, NY

Other Businesses

1)FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ROSA FAMILY SCHOLARSHIPINVESTMENT RELATED: NADDRESS OF BUSINESS:22 CHAPLIN ST, NEWINGTON, CONNECTICUT 6111NATURE OF BUSINESS: OTHER,SAVINGS ACCOUNTPOSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 3/3/2008NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THIS IS A SAVINGS ACCOUNT THAT MY FATHER OPENNED WITH HIS SS# AND TITLED ROSA FAMILY SCHOLARSHIP. THE ACCOUNT IS A BASIC SAVINGS ACCOUNT NOT AN ORGANZIATION OR ENTITY. I HAVE SIGNING PRIVLEDGES FOR CHECKS ONLY ON THE ACCOUNT I*2944300, Entity Type: , Name of OBA: Scouting America, Address: Fishkill, New York, 12524, Investment Related: N, Position, Title, Association: Troop Leader, Employee State Date: 10/06/2025, No Hours: 5 Weekly, No Hours during Trading: 0 Weekly, Duties: leader of the local troop The mission of Scouting America is to prepare young people to make ethical and moral choices over their lifetimes by instilling in them the values of the Scout Oath and Law.

Exams

• S66 Uniform Combined State Law Examination
  2002-11-14