Samuel J Robertson

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
LA	RA	APPROVED	2015-07-15
TX	RA	APPROVED	2015-06-18

LA RA
APPROVED

Since 2015-07-15
TX RA
APPROVED

Since 2015-06-18

Branch Locations

Greenwell Springs, LA • United States

1800 City Farm Dr, Baton Rouge, LA 70806 • 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	Baton Rouge	LA	06/2015	Present
Bank Of America, N.A.	Baton Rouge	LA	07/2015	Present

06/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Baton Rouge, LA
07/2015 → Present

Bank Of America, N.A.

Baton Rouge, LA

Previous Registrations

2008-11-06 → 2015-06-29

Ubs Financial Services Inc.

Baton Rouge, LA
2004-02-23 → 2008-11-07

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Baton Rouge, LA

Baton Rouge, LA

Other Businesses

1)J.& M. MANUF. & DIST - (OWNER) SOLE PROPRIETOR - FISHING LURE MANUF. NON- INVESTMENT RELATED BATON ROUGE,LA. 70818 40 HRS./MONTH - NONE DURING TRADING HOURS. DUTIES; CO-ORDINATE MANUFACTURING OF FISHING LURES BY SUB-CONTRACTORS AND SHIP ORDERS TO SPORTING GOOD STORES. I*82637 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SLAM DUNK LURES, LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: GREENWELL SPRINGS, LOUISIANA 70739 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 1/2/2012 NUMBER OF HOURS DEVOTED: 8 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MANUFACTURING AND DISTRIBUTION OF FISHING LURES I*122648 For profit or not for profit: For-Profit Organization Name of outside business organization: Lake Edge Properties LLC Investment related: Y Address of business: Greenwell Springs, Louisiana 70739 Nature of business: LLC, Position, title, association: Officer, Start date of relationship: 3/15/2019 Number of hours devoted: 8 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: This is an LLC for a single family recreational rental property. It is identical in scope to Oxbow Outings LLC which is an approved Outside Activity. This LLC will hold a different property.