Patrick Flynn Peterson

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
NC	RA	APPROVED	2022-01-10
TX	RA	APPROVED_RES	2004-08-17
SC	RA	APPROVED	2002-03-15

NC RA
APPROVED

Since 2022-01-10
TX RA
APPROVED_RES

Since 2004-08-17
SC RA
APPROVED

Since 2002-03-15

Branch Locations

75 Port City Lndg, Mount Pleasant, SC 29464 • 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 Lycnh, Pierce, Fenner & Smith Inc.	Charleston	SC	11/2001	Present
Bank Of America, N.A.	Charleston	SC	07/2011	Present

11/2001 → Present

Merrill Lycnh, Pierce, Fenner & Smith Inc.

Charleston, SC
07/2011 → Present

Bank Of America, N.A.

Charleston, SC

Other Businesses

Name of the other business Whether the business is investment-relatedNot Investment related Address of the other business Nature of the other business Your positionTrustee Title, or relationship with the other business Start date of your relationship10/08/2018 Approximate number of hours/month you devote to the other business1 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other business I*2057261, Entity Type Fiduciary, Name of OBA: E and L M Address: Winston-salem, North Carolina, 27104 Investment Related: Yes Position, Title, Association: Executor, Power of Attorney, Successor Trustee Employee Start Date: 01-Jan-2025 No Hours: 2 hours yearly No Hours during trading: 0 yearly Duties:

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-03-01
S63	Uniform Securities Agent State Law Examination	2001-07-20

S65 Uniform Investment Adviser Law Examination

2002-03-01
S63 Uniform Securities Agent State Law Examination

2001-07-20

View on SEC IAPD