David Brian Shoaff

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-01-22
TX	RA	APPROVED_RES	2018-01-11
ID	RA	APPROVED	2013-09-19
NV	RA	APPROVED	2008-04-28

CA RA
APPROVED

Since 2025-01-22
TX RA
APPROVED_RES

Since 2018-01-11
ID RA
APPROVED

Since 2013-09-19
NV RA
APPROVED

Since 2008-04-28

Branch Locations

Tucson, AZ • United States

450 N Stephanie St, Henderson, NV 89014 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Henderson	NV	02/2008	Present
Bank Of America, N.A.	Henderson	NV	07/2011	Present

02/2008 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Henderson, NV
07/2011 → Present

Bank Of America, N.A.

Henderson, NV

Other Businesses

DBS HOLDINGS, LLC, HENDERSON, NV 89053, REAL ESTATE HOLDING, MANAGER, 2005 START DATE, ZERO HOURS, NOT SECURITY RELATED.I*26509FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: TKM HOLDINGS, LLCINVESTMENT RELATED: NADDRESS OF BUSINESS:HENDERSON, NEVADA 89053NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 10/22/2007NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OFFICERI*117400For profit or not for profit: For-Profit OrganizationName of outside business organization: Park Avenue PSU LLCInvestment related: NAddress of business:Portland, Oregon 97239Nature of business: LLC,Position, title, association: Limited Partner, Start date of relationship: 10/1/2018Number of hours devoted: 0 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: 4 individuals, of which I am one, formed an LLC to buy 2 single family residential properties in Portland, Oregon. My responsibility is only as an investor. I have no management responsibilities.I*1806280Entity Type: For ProfitName of OBA: DCM Holdings, LLCAddress:Tucson, AZInvestment Related:NoPosition, Title, Association:General Partner/Managing MemberStart Date:05/01/2024No Hours: 12 YearlyNo Hours during trading:0Duties:Rental properties. I*1926434, Entity Type, Name of OBA: Rental Property 1, Address: Rockaway, OR, 97136, Investment Related: No, Position, Title, Association: Co-owner with other family members, Employee Start Date: 07/26/2024, No Hours: 0, No Hours during trading: 0, Duties: