David Zimmer

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
FL	RA	APPROVED	2025-12-03
TX	RA	APPROVED_RES	2018-09-24
CT	RA	APPROVED	2018-07-05

FL RA
APPROVED

Since 2025-12-03
TX RA
APPROVED_RES

Since 2018-09-24
CT RA
APPROVED

Since 2018-07-05

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • United States

1499 Post Rd, Fairfield, CT 06824 • United States

Disclosures

1 disclosure category 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 No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Stamford	CT	01/2018	Present
Seneca One Finance	West Palm Beach	FL	10/2014	12/2016
Nupoint Funding	Boca Raton	FL	01/2017	12/2017
Bank Of America, N.A.	Stamford	CT	05/2018	Present

01/2018 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT
10/2014 → 12/2016

Seneca One Finance

West Palm Beach, FL
01/2017 → 12/2017

Nupoint Funding

Boca Raton, FL
05/2018 → Present

Bank Of America, N.A.

Stamford, CT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-07-03
S63	Uniform Securities Agent State Law Examination	2011-07-25

S66 Uniform Combined State Law Examination

2018-07-03
S63 Uniform Securities Agent State Law Examination

2011-07-25

View on SEC IAPD