Rodney Steve

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

• 01/2004 → 06/2022
  The Vanguard Group, Inc.
  Charlotte, NC
• 06/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 09/2016 → 12/2018
  Drexel University
  Charlotte, NC

Previous Registrations

• 2013-11-12 → 2022-07-05
  Vanguard Advisers, Inc.
  Charlotte, NC

Other Businesses

I*1044256For profit or not for profit: Name of outside business organization: A21Investment related: NAddress of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Group and/or individual education on general retirement terms (401K, 403B, IRA, ROI, etc.) and answering general group questions and steps to take to inquire about their individual organization's retirement plans. I*2072264, Entity Type: Entity Charitable Name of OBA: Caterpillar Ministries Address: Huntersville, NC 28070 Investment Related: N Position, Title, Association: Board Member Employee Start Date: 01/06/2025 No Hours: 2 No Hours during trading: 7 Duties: Provide mission-based leadership and strategic planning. Serve as a trusted advisor to the Executive Director and Program Director to organization effectiveness, impact and performance. Contribute to annual performance evaluation of Executive Director. Support the approval of annual budget, annual reports and audit reports. Act as an ambassador for organization. Support Executive Director and other board members to ensure Board resolutions are carried out.

Exams

• S66 Uniform Combined State Law Examination
  2022-09-12
• S63 Uniform Securities Agent State Law Examination
  2004-05-18

Other Names

• Rodney Hamilton Steve