Steven Neal

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

• 07/2016 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 09/2016 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2009-06-01 → 2016-08-11
  Morgan Stanley
  Austin, TX
  New York, NY
• 2003-07-08 → 2009-06-01
  Citigroup Global Markets Inc.
  Austin, TX
  Austin, TX

Other Businesses

I*96562 For profit or not for profit: For-Profit Organization Name of outside business organization: Barton Hills, LLC Investment related: N Address of business: Austin, Texas 78704 Nature of business: LLC, Position, title, association: Owner, Member Start date of relationship: 7/13/2016 Number of hours devoted: 4 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Condo Rental I*120520 For profit or not for profit: For-Profit Organization Name of outside business organization: 116 Windsor, LLC Investment related: N Address of business: Austin, Texas 78703 Nature of business: LLC, Position, title, association: Owner, Member Start date of relationship: 1/23/2019 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Rental Income I*120520 For profit or not for profit: For-Profit Organization Name of outside business organization: LLC Investment related: N Address of business: Austin, Texas 78703 Nature of business: LLC, Position, title, association: Owner, Member Start date of relationship: 1/23/2019 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Rental Income

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-06-30
• S63 Uniform Securities Agent State Law Examination
  1998-03-10

Other Names

• Steven Neal Mechlowicz