Henry Swayne

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

• 01/2012 → Present
  Merrill Lynch, Pierce, Fenner And Smith Incorporated
  New York, NY
• 04/2012 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*1313268For profit or not for profit: Entity For ProfitName of outside business organization: CASA DEL BUJO LLCInvestment related: NAddress of business: OBA, OBA, OBANature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 5/23/2023Number of hours devoted: 2 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , This is a three person LLC between my brother and sister. This LLC was formed at the suggestion of our estate attorney. We will simply managed a vacation home via this LLC. I*2039270, Entity Type Fiduciary , Name of OBA: WMS 2024 Irrev Tr Address: Rye, New York, 10580 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 14-Oct-2024 No Hours:1 Yearly No Hours during trading: 1 Yearly Duties: I*2026475, Entity Type Fiduciary, Name of OBA: WMS 2024 Irrev Tr Address: Rye, New York, 10580 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 07-Oct- 2024 No Hours:1 Yearly No Hours during trading: 1 Yearly Duties I*2030276, Entity Type Fiduciary , Name of OBA: JKS Irrv 2024 Tr Address: Rye, New York, 10580 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 07-Oct- 2024 No Hours:1 Yearly No Hours during trading: 1 Yearly Duties: I*2030274, Entity Type Fiduciary, Name of OBA: WM & JK S 2024 Tr Address: Rye, New York, 10580 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 07-Oct- 2024 No Hours:1 Yearly No Hours during trading: 1 Yearly Duties I*2164323, Entity Type: , Name of OBA: J S TTEE H T S TTEE U/A DTD 07/26/2024 , Address: rye, New York, 10580, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 17-Jan-2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*2178270, Entity Type: , Name of OBA: W S TTEE H T S TTEE U/A DTD 07/26/2024 , Address: Rye, New York, 10580, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 28-Jan-2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*2699272, Entity Type: Entity For Profit, Name of OBA: Back Porch BBQ, Address: rumson, New Jersey, 07760, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 08/18/2025, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: make and distribute barbecue sauce, sell barbecue sauce I*4258266, Entity Type: , Name of OBA: D M. and B B. F Irrevocable Insurance Trust, Address: Rumson, New Jersey, 07760, Investment Related: N, Position, Title, Association: Successor Trustee, Employee Start Date: 05/01/2026, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties:

Exams

• S66 Uniform Combined State Law Examination
  2012-05-22