Heather Jean Winfield

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
MN	RA	APPROVED	2013-11-04
TX	RA	APPROVED_RES	2001-01-11

MN RA
APPROVED

Since 2013-11-04
TX RA
APPROVED_RES

Since 2001-01-11

Branch Locations

30 E 7Th St, Saint Paul, MN 55101 • 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	St. Paul	MN	06/1997	Present

06/1997 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

St. Paul, MN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-01-04

S66 Uniform Combined State Law Examination

2001-01-04

Other Names

Heather J Rice
Heather Jean Rice

View on SEC IAPD

Employer firm

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

Other Names

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