Nicholas Matthew Carriello

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

• 06/1996 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 09/2009 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*75520For profit or not for profit: For-Profit OrganizationName of outside business organization: FAYCAR REALTYInvestment related: NAddress of business:Sleepy Hollow, New York 10591Nature of business: LLC,Position, title, association: Owner, Start date of relationship: 10/10/2014Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: This is a multi family propery I will be purchasing with my 2 brother in laws. Brian Fahey is a client and aalso my brother in law. He will be purchasing this property with me and John Fahey (other brother in law)I*91841FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: GLENVILLE MAVERICKS INCINVESTMENT RELATED: NADDRESS OF BUSINESS: 16 ROCKWOOD LANE, GREENWICH, CONNECTICUT 6830NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 3/1/2016NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: MEET TO DISCUSS CHARITABLE ACTIVITIES FOR ORGANIZATION, FUNDRAISING AND ALSO RUNNING THE FOOTBALL OPERATIONS

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-07
• S63 Uniform Securities Agent State Law Examination
  1997-03-17

Other Names

• Nicholas M Carriello