Cleo James Kontoulas

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

• 02/2016 → 08/2019
  Northwestern Mutual Life Insurance Company
  Charlotte, NC
• 01/2020 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 09/2019 → 12/2019
  Uber
  Charlotte, NC
• 03/2020 → Present
  Bank Of America, N.A.
  Charlotte, NC

Previous Registrations

• 2018-04-04 → 2019-08-27
  Northwestern Mutual Investment Services, Llc
  Charlotte, NC

Other Businesses

I* 930246 For profit or not for profit: Entity For Profit,Entity Publicly Traded Name of outside business organization: Uber Investment related: no Address of business: San Francisco, CA, 94103 Nature of business: S Corporation Position, title, association: Consultant/Independent Contractor Start date of relationship: 08/01/2022 Number of hours devoted: 5 monthly Number of hours devoted during trading hours: 0 Duties: Driver

Exams

• S66 Uniform Combined State Law Examination
  2018-02-22

Other Names

• Cleo Kontoulas