Mitchell A Winter

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
UT	RA	APPROVED	2022-08-19
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED_RES	2008-01-18
NJ	RA	APPROVED	2006-10-17

UT RA
APPROVED

Since 2022-08-19
NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED_RES

Since 2008-01-18
NJ RA
APPROVED

Since 2006-10-17

Branch Locations

One Bryant Park Pbig - New York, New York, NY 10036 • United States

Park City, UT • 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 : 7691	New York	NY	04/2006	Present
Bank Of America,N.A.	New York	NY	06/2011	Present

04/2006 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691

New York, NY
06/2011 → Present

Bank Of America,N.A.

New York, NY

Other Businesses

I*6192 For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business: Park City, Utah 84098 Nature of business: , Position, title, association: , Start date of relationship: 4/24/2018 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties: I*510137 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Park City, Utah, 84098 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 8/29/2021 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*692245 For profit or not for profit: Name of outside business organization: Rental Property 2 Investment related: N Address of business: Hewlett Harbor, New York, 11557 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 1/30/2022 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-10-11
S65	Uniform Investment Adviser Law Examination	2002-07-11
S63	Uniform Securities Agent State Law Examination	2002-06-28

S66 Uniform Combined State Law Examination

2006-10-11
S65 Uniform Investment Adviser Law Examination

2002-07-11
S63 Uniform Securities Agent State Law Examination

2002-06-28

Other Names

Mitchell Allan Winter

View on SEC IAPD