David R Lowenthal

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
NY	RA	APPROVED	2021-04-06
NJ	RA	APPROVED	2020-11-04
TX	RA	APPROVED_RES	2012-03-15

NY RA
APPROVED

Since 2021-04-06
NJ RA
APPROVED

Since 2020-11-04
TX RA
APPROVED_RES

Since 2012-03-15

Branch Locations

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

Lakewood, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	05/2009	Present
Bank Of America, Na	New York	NY	12/2009	Present

05/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
12/2009 → Present

Bank Of America, Na

New York, NY

Other Businesses

I*31679 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ZICHRON AVIGDOR FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1139 SOMERSET AVENUE LAKEWOOD NJ 08701, LAKEWOOD, NEW JERSEY 8701 NATURE OF BUSINESS: OTHER,THIS A PERSONAL NON PROFIT FOUNDATION POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 3/1/2004 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OTHER CHARITABLE FOUNDATION Name of the other businessMS 2023 Irrevocable Trust Whether the business is investment-relatedNot Investment related Address of the other business Nature of the other business Your positionTrustee Title, or relationship with the other business Start date of your relationship2/15/2023 Approximate number of hours/month you devote to the other business1 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other business

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-04-16
S63	Uniform Securities Agent State Law Examination	1997-04-03

S65 Uniform Investment Adviser Law Examination

1997-04-16
S63 Uniform Securities Agent State Law Examination

1997-04-03

Other Names

David Lowenthal

View on SEC IAPD