Allan F. Fiore

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
CT	RA	APPROVED	2017-10-30
TX	RA	APPROVED_RES	2017-06-20

NY RA
APPROVED

Since 2021-04-19
CT RA
APPROVED

Since 2017-10-30
TX RA
APPROVED_RES

Since 2017-06-20

Branch Locations

One Bryant Park, New York, NY 10036 • United States

Staten Island, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
The Ayco Company, L.P./Mercer Allied	New York	NY	03/2004	05/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	05/2017	Present
Bank Of America, Na	New York	NY	06/2017	Present

03/2004 → 05/2017

The Ayco Company, L.P./Mercer Allied

New York, NY
05/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
06/2017 → Present

Bank Of America, Na

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-10-27
S63	Uniform Securities Agent State Law Examination	2003-09-24

S65 Uniform Investment Adviser Law Examination

2017-10-27
S63 Uniform Securities Agent State Law Examination

2003-09-24

Other Names

Allan Fiore
Allan Joseph Fiore

View on SEC IAPD