William D Windley

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
NC	RA	APPROVED	2013-05-23

NC RA
APPROVED

Since 2013-05-23

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

620 S Tryon St, Charlotte, NC 28255 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
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	Charlotte	NC	09/2012	Present

09/2012 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Other Businesses

I*: 1702300 Entity Type: Entity Charitable Name of OBA: Warlick Family YMCA Address: Gastonia, NC Investment Related: No Position, Title, Association: Board Member Employee Start Date: 4 hrs monthly Number of Hours: 2 hrs monthly Number of Hours during trading: Duties: Board Member-Finance Committee

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-05-22

S66 Uniform Combined State Law Examination

2013-05-22

Other Names

William Davenport Windley

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