Jodi Rosenthal

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
TX	RA	APPROVED_RES	2009-03-19
FL	RA	APPROVED	1997-09-11

TX RA
APPROVED_RES

Since 2009-03-19
FL RA
APPROVED

Since 1997-09-11

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • 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	Boca Raton	FL	04/1992	Present

04/1992 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL

Other Businesses

I*417194, Entity Type: Entity For Profit, Name of OBA: Coldwell Banker Referral Network, Address: madison, New Jersey 07940, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 03/13/2019, No Hours: 0, No Hours during trading: 0, Duties: real-estate license associated with them to keep it active.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-09-29

S66 Uniform Combined State Law Examination

2003-09-29

View on SEC IAPD