Sean Joseph Gaffey

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
  New York, NY
• 11/2009 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2008-04-28 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Fort Lee, NJ
• 2004-04-20 → 2004-10-28
  Kelleher Financial Advisors, Llc
  New York, NY

Other Businesses

I*116297 Entity Type: For-Profit Organization Name: Spike Island LLC Investment related: No Address of business: Rockville Centre, New York 11570 Position, title, association: Owner Start date of relationship: 8/13/2018 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: My wife does consulting work with some small companies in regards to branding, marketing, PR and communications. We set up this entity so she can do this work under a legal entity I*: 2819278 Entity Type: Charitable Name of OBA: Co-operation Ireland Address: New York, NY 10036 Investment Related: No Position, Title, Association: Board Member, Other Employee Start Date: 09/15/2025 Number of Hours: 4 hrs mthly Number of Hours during trading: 0 Duties: Set strategy and vision of the US arm as I will be nominated as Chair at our next board meeting on September 15th. I largely do this now in my Director role, but the strategic vision, appointing directors, establishing sub-committees, setting the cadence of events and board meetings will be largely on my shoulders

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-08-18
• S66 Uniform Combined State Law Examination
  2001-04-02