Sunil Gopal Joshi

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

• 09/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
  Florham Park, NJ
• 11/2009 → Present
  Bank Of America,Na
  Florham Park, NJ

Previous Registrations

• 2004-11-03 → 2009-09-23
  Ubs Financial Services Inc.
  Florham Park, NJ
  Florham Park, NJ

Other Businesses

I*35014 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: VANDANA JOSHI INVESTMENT RELATED: Y ADDRESS OF BUSINESS: DOVER, NEW JERSEY 7801 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 10/1/2010 NUMBER OF HOURS DEVOTED: 12 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY I*93243 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: VANDANA JOSHI (WIFE) INVESTMENT RELATED: N ADDRESS OF BUSINESS: 24 VALLEY ROAD, RANDOLPH, NEW JERSEY 7869 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 42216 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTING A SINGLE FAMILY HOME (MY PREVIOUS PRIMARY RESIDENCE)

Exams

• S66 Uniform Combined State Law Examination
  2004-11-02