Stephen Wilen Roberts

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

• 08/2001 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
• 05/2011 → Present
  Bank Of America, N.A.
  Houston, TX

Other Businesses

I*780228For profit or not for profit: Entity For ProfitName of outside business organization: Seaside Paradise- Palmilla LLCInvestment related: NAddress of business: Port Aransas, Texas, 78373Nature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 4/8/2022Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , I own a beach house and a separate beach lot in Port Aransas Texas. I have placed them inside an LLC. I am hoping to sell the lot, however, I am planning to place the home into the short term rental market. The day to day functions will be performed by a property management company, and my spouse will be responsible for any additional management needs that extend beyond the scope provided by property management firm. While it would be naive to assume that I will not be involved at least in some capacity, my goal is to have as little of my time spent on this activity as possible. I*920231For profit or not for profit: Entity For ProfitName of outside business organization: Home Team Investments LLCInvestment related: NAddress of business: Jackson, WyomingNature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 4/1/2022Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Home Team Investments LLC is a Wyoming based LLC, and its sole purpose is to hold the Seaside Paradise LLC (which is based in Texas) I*4054265, Entity Type: , Name of OBA: S W R TTEE T P R TTEE U/A DTD 03/17/2025 , Address: Katy, Texas, 77494, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 03/16/2026, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

• S66 Uniform Combined State Law Examination
  2001-12-22