Diane I Rooney

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

• 09/2011 → Present
  Merrill Lynch, Pierce, Fenner And Smith Incorporated
  Boston, MA
• 01/2012 → Present
  Bank Of America, N.A.
  Boston, MA

Other Businesses

I*47961FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY VERMONTINVESTMENT RELATED: NADDRESS OF BUSINESS:RENTAL PROPERTY, KILLINGTON, VERMONT 5751NATURE OF BUSINESS: OTHER,CONDO ASSOCIATIONPOSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/2006NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RENTAL PROPERTY, USE AS SECOND HOME WITHIN TAX GUIDELINES I*47960FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTYINVESTMENT RELATED: NADDRESS OF BUSINESS: RENATL PROPERTY, MIDDLETOWN, RHODE ISLAND 2842NATURE OF BUSINESS: OTHER, SECOND HOMEPOSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 10/1/2015NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RENTAL PROPERTY, PASSIVE I*1865297, Entity Type, Name of OBA: Rental Property 1 Address: MiddletownRhode Island02842 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 06/15/2024No Hours: 3 monthly No Hours during trading: 0 Duties :I*1899283, Entity Type:Entity For Profit, Name of OBA:Wolcott Fun, LLC Address: Newport, RI 02840 Investment Related: No, Position, Title, Association:General Partner/Managing Member Employee Start Date: 7/15/2024 No Hours:2hrs monthly No Hours during trading: 0 Duties:Real Estate (single home) rental I*2910282Entity Type: CharitableName of OBA: Impact 100 Newport CountyAddress:Newport Rhode IslandInvestment Related:NoPosition, Title, Association:CommitteeStart Date:10/01/2025No Hours: 6 YearlyNo Hours during trading:0 YearlyDuties:Make grants to non profits in Newport County, RIbudgeting guidance and oversight I*3599286, Entity Type: Charitable , Name of OBA: Impact 100 Newport County, Address: Newport, Rhode Island, 02840, Investment Related: N, Position, Title, Association: grant application review committee , Employee Start Date: 01/25/2026, No Hours: 5 Yearly, No Hours during Trading: 0 Yearly, Duties: Review and rank applications, Provides grants to non-profits in Newport County RI

Exams

• S66 Uniform Combined State Law Examination
  2011-12-14

Other Names

• Diane Rooney