Samuel Pennell

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

• 11/2011 → 10/2018
  Morgan Stanley Smith Barney
  Charlotte, NC
• 01/2015 → 10/2018
  Morgan Stanley Private Bank, National Association
  New York, NY
• 10/2018 → 12/2025
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
• 12/2025 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 03/2026 → Present
  Bank Of America, N.A.
  Charlotte, NC

Previous Registrations

• 2018-10-26 → 2025-12-18
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
• 2012-03-13 → 2018-10-29
  Morgan Stanley
  Charlotte, NC

Other Businesses

I*3723265 Entity Type: N/A Name of OBA: My parents Address: Lancaster, South Carolina, 29732 Investment Related: No Position, Title, Association: Successor Power of Attorney Employee Start Date: 01/01/2030 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Parents

Exams

• S66 Uniform Combined State Law Examination
  2012-03-12

Other Names

• Sam Pennell
• Samuel Newton Pennell Jr
• Samuel Newton Pennell
• Samuel Newton Pennell