Rees Mason

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
MO	RA	APPROVED	2022-04-20
FL	RA	APPROVED	2019-01-18
TX	RA	APPROVED	2013-01-02
IL	RA	APPROVED	2012-12-17

MO RA
APPROVED

Since 2022-04-20
FL RA
APPROVED

Since 2019-01-18
TX RA
APPROVED

Since 2013-01-02
IL RA
APPROVED

Since 2012-12-17

Branch Locations

824 A1A N, Ponte Vedra Beach, FL 32082 • United States

4801 Main St, Kansas City, MO 64112 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	02/2012	Present
Bank Of America, N.A.	Chicago	IL	09/2014	Present

02/2012 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
09/2014 → Present

Bank Of America, N.A.

Chicago, IL

Other Businesses

I*95336 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: AMERICAN HEART ASSOCIATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHICAGO, ILLINOIS 60604 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 8/1/2016 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COCHAIR OF AHA YOUNG PROFESSIONALS BOARD. ADVOCACY AND ASSISTING IN FUNDRAISING OPPORTUNITIES. I*105936 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RAVELLO ROSE PROPERTIES, LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: CHICAGO, ILLINOIS 60613 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/10/2017 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS AN LLC FORMED BY MY HUSBAND AND MYSELF TO HOLD AN INVESTMENT PROPERTY.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-12-15

S66 Uniform Combined State Law Examination

2012-12-15

Other Names

Lauren Christeen Mason
Rees Mason
Rees Donofrio
Rees M Donofrio
Rees M D'ONofrio

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