Teresa Lee Penn

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

• 10/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX

Previous Registrations

• 2006-07-03 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Dallas, TX
  Ft. Worth, TX
• 2002-03-28 → 2006-05-08
  Banc One Securities Corporation
  Arlington, TX

Other Businesses

1.FOR PROFIT OR NOT FOR PROFIT: FOR PROFIT 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: ROCKING R CREATIONS 3.INVESTMENT RELATED: (YES OR NO) NO 4.ADDRESS OF BUSINESS: 7304 CR 1202, CLEBURNE, TEXAS 76031 5.NATURE OF BUSINESS: FAMILY BUSINESS 6.YOUR POSITION, TITLE, ASSOCIATION: FAMILY HELD 7.START DATE OF RELATIONSHIP: 08/03/2012 8.NUMBER OF HOURS DEVOTED PER MONTH: 24 QUARTERLY 9.NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 10.YOUR DUTIES: THIS IS MY HUSBAND'S BUSINESS. HE BUILDS AND SELLS CUSTOMER PICTURE FRAMES AND DOES SOME LIGHT FURNITURE RESTORATION FOR RESALE.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-07-10
• S63 Uniform Securities Agent State Law Examination
  1998-03-16

Other Names

• Teresa Lee Hursh
• Terri Penn