William Floyd

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

• 11/2007 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
  Atlanta, GA
• 04/2011 → Present
  Bank Of America, N.A.
  Atlanta, GA

Previous Registrations

• 2003-07-01 → 2007-11-20
  Wells Fargo Clearing Services, Llc
  Atlanta, GA
  Atlanta, GA
• 2002-12-18 → 2003-07-01
  Prudential Equity Group, Llc
  Atlanta, GA

Other Businesses

I*21066 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SERVICE PLUS FINANCIAL, INC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 700 PARK REGENCY PLACE NE, UNIT 801 ATLANTA, GEORGIA 30326 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12:00:00 AM NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PREVIOUS S CORP THAT HAS BEEN INACTIVE SINCE 2005. NO RESPONSIBILITY OR TASK. CORP PROVIDED SERVICE CONTACTS TO AUTO DEALERSHIPS.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-06-03
• S63 Uniform Securities Agent State Law Examination
  1998-05-20

Other Names

• Gary Floyd
• William Gary Floyd