Ellen R Shain

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

• 10/2004 → Present
  Bank Of America, N.A.
  Boston, MA
• 10/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boston, MA

Previous Registrations

• 2005-02-15 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Boston, MA
  Boston, MA
  Boston, MA

Other Businesses

1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: JOSHUA TAYLOR SHAIN TRUST 3.INVESTMENT RELATED: Y 4.ADDRESS OF BUSINESS: SOUTH HAMILTON, MASSACHUSETTS 1982 5.NATURE OF BUSINESS: TRUST 7.FIDUCIARY ROLE: Y 8.FIDUCIARY ROLE FOR FAMILY?: Y, SON 9.FIDUCIARY DETAILS: MY SON'S ACCOUNT-ESTATE PLAN 10.POSITION, TITLE, ASSOCIATION: , 11.POSITION DUTIES: TRUSTEE 12.START DATE OF RELATIONSHIP: 1/3/2000 13.NUMBER OF HOURS DEVOTED: 4 ANNUALLY 14. NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: III. 1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: JOSHUA T SHAIN UTMA 3.INVESTMENT RELATED: Y 4.ADDRESS OF BUSINESS: SOUTH HAMILTON, MASSACHUSETTS 1982 5.NATURE OF BUSINESS: TRUST 7.FIDUCIARY ROLE: Y 8.FIDUCIARY ROLE FOR FAMILY?: Y, SON 9.FIDUCIARY DETAILS: TRUSTEE/CUSTODIAN FOR SON-MY ESTATE PLAN 10.POSITION, TITLE, ASSOCIATION: , 11.POSITION DUTIES: TRUSTEE/CUSTODIAN 12.START DATE OF RELATIONSHIP: 1/3/2000 13.NUMBER OF HOURS DEVOTED: 8 ANNUALLY 14. NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: IV. 1.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: IAN GREER SHAIN TRUST 3.INVESTMENT RELATED: Y 4.ADDRESS OF BUSINESS: SOUTH HAMILTON, MASSACHUSETTS 1982 5.NATURE OF BUSINESS: TRUST 7.FIDUCIARY ROLE: Y 8.FIDUCIARY ROLE FOR FAMILY?: Y, SON 9.FIDUCIARY DETAILS: MY SON-MY ESTATE PLAN 10.POSITION, TITLE, ASSOCIATION: , 11.POSITION DUTIES: TRUSTEE 12.START DATE OF RELATIONSHIP: 1/3/2000 13.NUMBER OF HOURS DEVOTED: 8 ANNUALLY 14. NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES:

Exams

• S66 Uniform Combined State Law Examination
  2005-02-14
• S63 Uniform Securities Agent State Law Examination
  2002-03-07