Joseph Roy Hargrove

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

• 03/2011 → 04/2022
  Charles Schwab & Co., Inc.
  Chicago, IL
• 04/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Northbrook, IL
• 05/2022 → Present
  Bank Of America, N.A.
  Northbrook, IL

Previous Registrations

• 2011-03-22 → 2022-05-05
  Charles Schwab & Co., Inc.
  Chicago, IL
• 2008-10-07 → 2009-10-06
  Bondwave Llc
  Wheaton, IL
  Wheaton, IL
  Wheaton, IL

Other Businesses

062262, Entity Type Fiduciary, Name of OBA: R E H Address: Rockford, Illinois, 61101 Investment Related: Yes Position, Title, Association: Power of Attorney Employee Start Date: 24-Oct-2024 No Hours: 1 Monthly No Hours during trading: 0 Duties: I*2775270, Entity Type: , Name of OBA: Alliance of Mergers & Acquisition Advisors, Address: Dallas, Texas, 75247, Investment Related: N, Position, Title, Association: executive committee, Employee State Date: 08/01/2025, No Hours: 4 Monthly, No Hours during Trading: 1 Monthly, Duties: I am on the local chapter executive committee. The responsibilities include organizing social activities for the organization. Networking organization that brings together professionals in the area of investment banking and private equity

Exams

• S66 Uniform Combined State Law Examination
  2007-10-23
• S63 Uniform Securities Agent State Law Examination
  2004-06-17

Other Names

• Joseph Roy Hararove
• Joseph R Hargrove