Andrew Alan Farkosh

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
ME	RA	APPROVED	2025-04-14
DE	RA	APPROVED	2020-12-08
TX	RA	APPROVED	2018-01-31
VA	RA	APPROVED	2016-02-29

ME RA
APPROVED

Since 2025-04-14
DE RA
APPROVED

Since 2020-12-08
TX RA
APPROVED

Since 2018-01-31
VA RA
APPROVED

Since 2016-02-29

Branch Locations

Cape Elizabeth, ME • United States

1 Monument Sq, Portland, ME 04101 • 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	Fredericksburg	VA	11/2015	Present
Bank Of America, N.A.	Fredericksburg	VA	01/2016	Present

11/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fredericksburg, VA
01/2016 → Present

Bank Of America, N.A.

Fredericksburg, VA

Other Businesses

I*1901274, Entity Type: , Name of OBA: M R, Address: SPOTSYLVANIA, Virginia, 22553, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 31-Jul-2024, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-02-26

S66 Uniform Combined State Law Examination

2016-02-26

Other Names

Andrew A Farkosh

View on SEC IAPD