Diedrich Doughty Oglesbee

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

• 04/1998 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 12/2009 → Present
  Bank Of America, N.A.
  Charlotte, NC

Other Businesses

I*52875 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BRANDON MERRITT CHARITBALE FOUDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: FT LAUDERDALE, FLORIDA 33301 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 01/02/2012 NUMBER OF HOURS DEVOTED: 100 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: BOARD MEMBER

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-07-09
• S63 Uniform Securities Agent State Law Examination
  1997-10-30

Other Names

• Rick Oglesbee