Joshua M Swinson

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-07-28
CA	RA	APPROVED	2013-05-20

TX RA
APPROVED_RES

Since 2016-07-28
CA RA
APPROVED

Since 2013-05-20

Branch Locations

100 Spectrum Center Dr, Irvine, CA 92618 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Corona Del Mar	CA	07/1999	Present
Bank Of America, N.A.	Corona Del Mar	CA	07/2013	Present

07/1999 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Corona Del Mar, CA
07/2013 → Present

Bank Of America, N.A.

Corona Del Mar, CA

Other Businesses

I*121692For profit or not for profit: For-Profit OrganizationName of outside business organization: Maver IncInvestment related: NAddress of business: Aliso Viejo, California 92656Nature of business: Corporation,Position, title, association: Family Held, Start date of relationship: 4/1/2019Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: daycare/preschool that my wife will be running. I am only associated by marriage I*4739269 Entity Type: N/A Name of OBA: F Family Trust Address: Aliso Viejo, California, 92656 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 06/18/2026 Number of Hours: 20, Weekly Number of Hours during trading: 0, Weekly Duties: Child/Grandchild

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-05-17
S63	Uniform Securities Agent State Law Examination	2001-02-26

S66 Uniform Combined State Law Examination

2013-05-17
S63 Uniform Securities Agent State Law Examination

2001-02-26

Other Names

Joshua Micah Swinson

View on SEC IAPD