Sonia Giovanna Chiarella

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
CT	RA	APPROVED	2009-10-23

CT RA
APPROVED

Since 2009-10-23

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

1025 Main St, Waltham, MA 02451 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Bank Of America N.A	Boston	MA	07/1992	Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Boston	MA	10/2009	Present

07/1992 → Present

Bank Of America N.A

Boston, MA
10/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA

Previous Registrations

2009-01-08 → 2009-10-23

Banc Of America Investment Services, Inc.

Boston, MA

Boston, MA

Other Businesses

TRUSTEE OF WEST EMERSON REALTY TRUST. IT IS A 5 UNIT APT. BUILDING AND 1 UNIT (6 TOTAL) LOCATED AT 93 WEST EMERSON ST. MELROSE, MA 02176. I DO NOT MANAGE THE PROPERTY SO 0 HRS ARE SPENT TO THE BUSINESS. IT IS MANAGED BY ANOTHER TRUSTEE.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-12-27

S66 Uniform Combined State Law Examination

2008-12-27

View on SEC IAPD