Stuart Aaron Goldstein

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

• 10/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boston, MA

Previous Registrations

• 2006-10-05 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Lincoln, RI
  Boston, MA
  Boston, MA
  Lincoln, RI
• 2003-09-09 → 2006-10-04
  Td Ameritrade, Inc.
  Providence, RI
  Providence, RI
• 2006-04-25 → 2006-10-04
  Td Ameritrade Investment Management, Llc
  Providence, RI

Other Businesses

I*80798 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RIO ALL-SUITE HOTEL INVESTMENT RELATED: N ADDRESS OF BUSINESS: 3700 W FLAMINGO RD, LAS VEGAS, NEVADA 89103 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 5/30/2015 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PARTICIPATION IN WORLD SERIES OF POKER TOURNAMENT FOR RECREATIONAL PURPOSES

Exams

• S66 Uniform Combined State Law Examination
  2003-06-18
• S63 Uniform Securities Agent State Law Examination
  2000-08-02