Katie Ann Mcguffie

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

• 09/1997 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Bloomfield Hills, MI

Other Businesses

I*107538 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NEITHERCUT PHILANTHROPY ADVISORS LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: DETROIT, MICHIGAN 48207 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 8/1/2017 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CLERICAL DUTIES

Exams

• S66 Uniform Combined State Law Examination
  2005-11-19

Other Names

• Katie Ann Viol
• Katie Mcguffie