Anne Jochuan Egan

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
FL	RA	APPROVED	2021-04-06
TX	RA	APPROVED_RES	2009-03-12
CA	RA	APPROVED	2003-04-01

FL RA
APPROVED

Since 2021-04-06
TX RA
APPROVED_RES

Since 2009-03-12
CA RA
APPROVED

Since 2003-04-01

Branch Locations

Atlantic Beach, FL • United States

50 N Laura St, Jacksonville, FL 32202 • United States

333 S Hope St, Los Angeles, CA 90071 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
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	Los Angeles	CA	01/1990	Present

01/1990 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA

Other Businesses

I*486970, Entity Type: , Name of OBA: poa, Address: BURLINGAME, California, 94010, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 30-Aug-2015, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-03-29
S63	Uniform Securities Agent State Law Examination	1997-08-13

S66 Uniform Combined State Law Examination

2003-03-29
S63 Uniform Securities Agent State Law Examination

1997-08-13

Other Names

Anne J Hei
Anne Jochuan Hei

View on SEC IAPD