Joel James Moore

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

• 02/2015 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 03/2015 → Present
  Bank Of America, N.A.
  Chicago, IL

Previous Registrations

• 2010-10-01 → 2015-01-16
  Morgan Stanley
  Farmington Hills, MI
  Deerfield, IL
  Chicago, IL
  Chicago, IL

Other Businesses

I*78964FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ROCKFORD UNIVERSITYINVESTMENT RELATED: NADDRESS OF BUSINESS: ROCKFORD, ILLINOIS 61108NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 10/1/2014NUMBER OF HOURS DEVOTED: 4 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 5DUTIES: BOARD OF TRUSTEESINVESTMENT COMMITTEE, HUMAN RESOURCES COMMITTEE, ADVANCEMENT COMMITTEE I*1832295, Entity Type Entity Charitable, Name of OBA: AANA Foundation Address: Park Ridge, Illinois, 60068 Investment Related: No Position, Title, Association: Committee Employee Start Date: 06/03/2024 No Hours:4 yearly No Hours during trading: 4 yearly Duties: To provide education to the Board on the investments of the foundation that are being managed by Vanguard. I will be one of several people in the group including other investment people from other firms. We will be reviewing the Vanguard investments and educating the Board on a quarterly basis as to what Vanguard is doing with the portfolio. The Foundation Board is looking for me to join this group of outside professionals to provide general investment education. There will be no investment decisions made, recommendations or advice given.

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-07-02
• S63 Uniform Securities Agent State Law Examination
  2003-05-30