Arnold Rosales

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

• 01/2015 → 11/2016
  Pnc Investments
  Charlotte, NC
• 11/2016 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 11/2016 → Present
  Bank Of America, N.A.
  Charlotte, NC

Previous Registrations

• 2014-08-19 → 2016-11-22
  Pnc Wealth Management Llc
  Charlotte, NC
  Washington, DC
  Washington, DC
  Weston, FL
  Coral Springs, FL
  Coral Springs, FL
  Fort Lauderdale, FL
  Sunrise, FL
  Davie, FL
  North Miami Beach, FL
  Boca Raton, FL
  Palm Springs, FL
  West Palm Beach, FL
  Delray Beach, FL
  Weston, FL
  Pompano Beach, FL
  Jensen Beach, FL
  Pompano Beach, FL
  Oakland, FL
  Cooper City, FL
  Hallandale, FL
  Washington, DC
  Pembroke Gardens, FL
• 2013-08-12 → 2014-08-08
  Lpl Financial Llc
  Fort Mill, SC
  Charlotte, NC
• 2009-01-09 → 2013-08-01
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  Winston Salem, NC
  Charlotte, NC

Other Businesses

I*: 434963 Entity Type: For profit Name of outside business organization: Method Entertainment LLC Investment related: No Address of business: CHARLOTTE, NC Nature of business: ENTERTAINMENT Position, title, association: 100% OWNER / DJ Start date of relationship: 06/01/2005 Number of hours devoted 16 hrs mthly Number of hours devoted during trading hours: 0 Duties: Entertainment service It a weekend party DJ group where he may DJ or refer out the party. Owner

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-01-08
• S63 Uniform Securities Agent State Law Examination
  2007-12-21

Other Names

• Arnold Rosales
• Arnold Alex Rosales
• Arnor Alexis Rosales Arguedas
• Arnold Alex Rosales
• Arnor Alexis Rosales Arguedas
• Arnold Alex Rosales