John Lima

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

• 09/2017 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Lincoln, RI
• 07/2016 → 09/2017
  Santander Bank N.A.
  East Providence, RI

Previous Registrations

• 2004-10-20 → 2007-09-25
  Banc Of America Investment Services, Inc.
  Lincoln, RI
  Lincoln, RI
  Lincoln, RI
• 2002-09-05 → 2004-10-20
  Quick & Reilly, Inc.
  Lincoln, RI

Exams

• S66 Uniform Combined State Law Examination
  2023-03-03
• S65 Uniform Investment Adviser Law Examination
  2001-05-09
• S63 Uniform Securities Agent State Law Examination
  1999-10-13

Other Names

• John Charles Lima