Seth Christopher Harjes

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

• 11/2015 → 11/2017
  Wells Fargo Bank N/A
  Des Moines, IA
• 11/2017 → 04/2024
  Principal Life Insurance
  Des Moines, IA
• 12/2017 → 04/2024
  Principal Securities
  Des Moines, IA
• 04/2024 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  West Des Moines, IA
• 05/2024 → Present
  Bank Of America N.A.
  West Des Moines, IA

Other Businesses

***Iowa High School Athletic Association; Not Investment Related; 1605 South Story Street, Boone, IA 50036; Referee; Referreing sporting events; Start Date: 11/15/2017; 60 hrs per month; 0 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-04-26
• S63 Uniform Securities Agent State Law Examination
  2018-01-17