Brandon Luke Bergstrom

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
CT	RA	APPROVED	2011-03-11
TX	RA	APPROVED_RES	2007-10-10
OK	RA	APPROVED	2006-02-22

CT RA
APPROVED

Since 2011-03-11
TX RA
APPROVED_RES

Since 2007-10-10
OK RA
APPROVED

Since 2006-02-22

Branch Locations

500 Cummings Ctr, Beverly, MA 01915 • United States

Winchester, MA • United States

Disclosures

2 disclosure categories 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 Yes
Criminal Yes
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	Boston	MA	02/2006	Present
Bank Of America, N.A.	Spartanburg	SC	12/2009	Present

02/2006 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA
12/2009 → Present

Bank Of America, N.A.

Spartanburg, SC

Previous Registrations

2002-12-17 → 2006-02-21

Morgan Stanley Dw Inc.

Boston, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-02-19
S63	Uniform Securities Agent State Law Examination	1998-01-29

S65 Uniform Investment Adviser Law Examination

1998-02-19
S63 Uniform Securities Agent State Law Examination

1998-01-29

View on SEC IAPD