Brian Scott Saroken

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

• 04/2014 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 04/2014 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*416389For profit or not for profit: Entity For ProfitName of outside business organization: 65 S M Investment related: NAddress of business: New York, New York, 10021Nature of business: Position, title, association: Start date of relationship: Number of hours devoted: 10 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: Family Held, This is a property my family has owned for generations. We simply rent the building to two stores and there is almost no time commitment to it. I*4053268, Entity Type: Entity Charitable, Name of OBA: Columbia University, Address: New York, New York, 10027, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 07/01/2026, No Hours: 10 Weekly, No Hours during Trading: 0 Weekly, Duties: As an Associate II in Professional Studies, I will be expected to facilitate teaching Retirement Planning. Columbia University Masters in Wealth Management

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-04-13
• S63 Uniform Securities Agent State Law Examination
  2002-10-31