Benjamin C Capshaw

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

• 01/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New Orleans, LA
• 12/2009 → Present
  Bank Of America, Na
  New Orleans, LA

Previous Registrations

• 2007-04-02 → 2009-01-21
  Morgan Stanley & Co. Llc
  New Orleans, LA
• 2004-09-03 → 2007-04-02
  Morgan Stanley Dw Inc.
  Ridgeland, MS
  New Orleans, LA

Exams

• S66 Uniform Combined State Law Examination
  2001-04-12

Other Names

• Benjamin C Capshaw