Paul Anthony Modafferi

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

• 06/2016 → 11/2019
  Investment Professionals, Inc.
  San Antonio, TX
• 11/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sparta, NJ
• 12/2019 → Present
  Bank Of America, N.A
  Sparta, NJ
• 06/2016 → 06/2019
  Ameriprise
  Minneapolis, MN

Previous Registrations

• 2018-06-22 → 2019-03-26
  Ameriprise Financial Services, Llc
  Franklin, NJ
• 2016-06-07 → 2018-09-24
  Investment Professionals, Inc.
  San Antonio, TX
  Franklin, NJ
  Danville, KY
• 2008-07-15 → 2016-06-02
  Sorrento Pacific Financial, Llc
  Franklin, NJ
  Franklin, NJ
• 2004-12-03 → 2005-09-26
  Citigroup Global Markets Inc.
  Milford, PA
  Little Falls, NJ
  Milford, PA
  Goshen, NY
• 1999-11-05 → 2004-12-07
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sparta, NJ

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-03-06
• S63 Uniform Securities Agent State Law Examination
  1996-11-15

Other Names

• Paul F Biamonte
• Paul A Modafferi
• Paul Anthony Modafferi