Lee Richard Nesser

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
NY	RA	APPROVED	2021-04-19
NJ	RA	APPROVED	2013-09-05
TX	RA	APPROVED	2013-09-03

NY RA
APPROVED

Since 2021-04-19
NJ RA
APPROVED

Since 2013-09-05
TX RA
APPROVED

Since 2013-09-03

Branch Locations

One Bryant Park, New York, NY 10036 • 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 Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	09/2013	Present
Bank Of America, N.A.	New York	NY	10/2013	Present

09/2013 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
10/2013 → Present

Bank Of America, N.A.

New York, NY

Previous Registrations

2009-06-01 → 2013-09-10

Morgan Stanley

New York, NY
2008-10-06 → 2009-06-01

Morgan Stanley & Co. Llc

New York, NY
2007-05-16 → 2008-10-02

Lehman Brothers Inc.

New York, NY

New York, NY

New York, NY

Other Businesses

I*122924For profit or not for profit: For-Profit OrganizationName of outside business organization: Binghamton University Rugby Alumni Advisory BoardInvestment related: NAddress of business:Binghamton, New York 13902Nature of business: Other,quasi-volunteer boardPosition, title, association: Advisory Board Member, Start date of relationship: 5/3/2019Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: The objective of the Binghamton Univ. Rugby Alumni Charter is to administer the BU Rugby Alumni Undergrad Rugby Fund to provide direct financial support related to the on-field performance of the undergrad team I*3139265 Entity Type: N/A Name of OBA: JorJac LLC. Address: Short Hills, New Jersey, 7078 Investment Related: No Position, Title, Association: N/A Employee Start Date: 11/15/2025 Number of Hours: 0.5, Weekly Number of Hours during trading: 0, Weekly Duties: My wife started this business to work with clients as a stylist for clothing as well as homes. She is sole owner and operator I am helping her with the bookkeeping and would need signatory authority to get wires in and out when needed to pay vendors

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-11-07

S66 Uniform Combined State Law Examination

2001-11-07

Other Names

Lee Nesser

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