Ben L Richards

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

• 10/2011 → Present
  Merrill Lynch, Pierce Fenner And Smith Boa
  Everett, WA
• 01/2012 → Present
  Bank Of America, N.A.
  Everett, WA

Previous Registrations

• 2004-06-07 → 2009-06-04
  Thrivent Investment Management Inc.
  Lake Stevens, WA
  Mill Creek, WA
  Everett, WA

Other Businesses

I*8728 For profit or not for profit: Rental Property Name of outside business organization: Cottonwood Park Investment related: No Address of business: Blackfoot, Idaho 83221 Position, title, association: Co-owner with non-family members Start date of relationship: 11/11/2019 Number of hours devoted: 4 hour(s) Number of hours devoted during trading hours: 0 Duties: Co-owner with non-family members of rental property I*1960405, Entity Type Entity For Profit, Name of OBA: Retro Play Arcade Address: Sandpoint Idaho 83864 Investment Related: No Position, Title, Association: Employee Start Date: 09/01/2024No Hours: 2 monthly No Hours during trading: 0 Duties: Placing 7 classic quarter arcade games (pacman, mario, donkey kong, space invaders, etc) in a local shopping center as a business lesson for our kids schooling and they and my wife will manage the passive business needs such as restocking change and emptying. I*: 2199454 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Worley, ID 83876 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 02/17/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Co-owner with other family members of rental property

Exams

• S66 Uniform Combined State Law Examination
  2012-02-17
• S63 Uniform Securities Agent State Law Examination
  2012-01-23

Other Names

• Ben Louis Richards