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Joseph Paul Boccaccio

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA

CRD 4371918

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
NJ RA APPROVED 2020-12-23
TX RA APPROVED_RES 2015-06-25
CT RA APPROVED 2008-04-11
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2020-12-23
  • TX RA
    APPROVED_RES
    Since 2015-06-25
  • CT RA
    APPROVED
    Since 2008-04-11

Branch Locations

100 Federal St, Boston, MA 02110 • 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
OrganizationCityStateFromTo
Bank Of America, Na New York NY 09/2009 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 04/2008 Present
Previous Registrations
  • 2007-05-29 → 2008-04-22
    Citigroup Global Markets Inc.
    Long Island City, NY
    New York, NY
  • 2006-07-18 → 2007-05-29
    Citicorp Investment Services
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-11
S63 Uniform Securities Agent State Law Examination 2004-11-02
  • S65 Uniform Investment Adviser Law Examination
    2006-07-11
  • S63 Uniform Securities Agent State Law Examination
    2004-11-02

View on SEC IAPD

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Nearby Investors

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JOSHUA WEBSTER JONES
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Nearby Offices

COHERE CAPITAL · BOSTON, MA
BAYPINE HOLDINGS LP · BOSTON, MA
GUIDEPOST GROWTH EQUITY MANAGEMENT COMPANY, L.P. · BOSTON, MA

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