Suzanne Austin

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

• 07/2014 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 09/2014 → Present
  Bank Of America, N.A.
  Chicago, IL

Previous Registrations

• 2008-10-01 → 2012-05-15
  J.P. Morgan Securities Llc
  Chicago, IL
• 2006-09-27 → 2008-10-01
  J.P. Morgan Securities Inc.
  Chicago, IL
• 2002-04-15 → 2006-09-27
  Banc One Securities Corporation
  Chicago, IL
  Chicago, IL
  Chicago, IL

Other Businesses

I*: 481089Entity Type: GovernmentalName of OBA: Clarendon Hills Park DistrictAddress: Clarendon Hills, IL 60514Investment Related: NoPosition, Title, Association: President/CommissionerEmployee Start Date: 04/02/2013Number of Hours: 6 hrs mthlyNumber of Hours during trading: 0 Duties: Advisory services for recreational, pool and park maintenance facilities. I*2654305, Entity Type: , Name of OBA: M C TTEE S E A TTEE, Address: Mobile, Alabama, 36695, Investment Related: N, Position, Title, Association: Co-Trustee, Employee State Date: 01/20/2014, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-21
• S63 Uniform Securities Agent State Law Examination
  1998-01-26

Designations

• Certified Financial Planner

Other Names

• Suzanne Eileen Austin