Sergio Mejia

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
TX	RA	APPROVED_RES	2020-01-08
CA	RA	APPROVED	2016-10-26

TX RA
APPROVED_RES

Since 2020-01-08
CA RA
APPROVED

Since 2016-10-26

Branch Locations

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • 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	Scottsdale	AZ	05/2016	Present
Bank Of America, N.A.	Scottsdale	AZ	02/2017	Present

05/2016 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Scottsdale, AZ
02/2017 → Present

Bank Of America, N.A.

Scottsdale, AZ

Other Businesses

I*584315For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: scottsdale, Arizona, 85251Nature of business: Position, title, association: Sole owner, Start date of relationship: 12/1/2021Number of hours devoted: 2 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties I*128452For profit or not for profit: For-Profit OrganizationName of outside business organization: SEER Holdings SASInvestment related: NAddress of business:EDIFICIO CENTRO EMPRESACali, 0Nature of business: Family Business,Position, title, association: Family Held, Start date of relationship: 11/4/2019Number of hours devoted: 1 hour(s) QuarterlyNumber of hours devoted during trading hours: 3Duties: The entity is a holding company for a few family owned businesses in Colombia. The reason we had to buy into it with funds gifted by my father Diego Mejia Castro was for estate planning purposes. I*2010286Entity Type: Entity For ProfitName of OBA: Nueva Segovia Financials LLCAddress:Miami FloridaInvestment Related:NoPosition, Title, Association:OwnerStart Date:01/01/2023No Hours: 4 YearlyNo Hours during trading:0Duties:My brother and I are 50% owners each as this is a family trust holding company. the company owns the investments at Merrill lynch and real estate. we get a monthly distribution but outside of that the trustee has full control. I*2021322, Entity Type, Entity for Profit, Name of OBA: Pacific Integrated Energy Inc, Address: San Diego, AZ, 92123, Investment Related: No, Position, Title, Association: Other (Board Mbr), Employee Start Date: 01/01/2021, No Hours: 1hr/Mo, No Hours during trading: 0, Duties: I am on the board of the company due to a family trust investment early on when company started. I*2297289, Entity Type: Entity For Profit, Name of OBA: Sailing Ways, Address: scottsdale, Arizona, 85255, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 01/01/2025, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties: this is a business that owns a catamaran that we charter out and generate rental income from it to cover expenses so the family can use it for free