Viviana A Caicedo

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	2018-02-12
FL	RA	APPROVED	2017-10-31

TX RA
APPROVED

Since 2018-02-12
FL RA
APPROVED

Since 2017-10-31

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
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	Boca Raton	FL	01/2016	Present
Bank Of America, N.A.	Boca Raton	FL	11/2024	Present

01/2016 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL
11/2024 → Present

Bank Of America, N.A.

Boca Raton, FL

Other Businesses

I*137861 For profit or not for profit: For-Profit Organization Name of outside business organization: VME Premium Auto Supplies LLC Investment related: N Address of business: Boynton Beach, Florida 33473 Nature of business: Family Business, Position, title, association: Owner, Start date of relationship: 5/1/2021 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This is a car supply wholesale store. purpose is to sell auto supplies. The company is ran 100 by my husband, I don't have a specific role. Just 50 owner. I*94241 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: INFONET ENTERPRISE INVESTMENT RELATED: N ADDRESS OF BUSINESS: BOGOTA, 0 NATURE OF BUSINESS: OTHER,S.A POSITION, TITLE, ASSOCIATION: OTHER, PARTNER START DATE OF RELATIONSHIP: 1/1/2006 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY OWNED BUSINESS MANAGED BY MY FATHER IN COLOMBIA. I OWN AROUND 30% OF THE COMPANY BUT HE HAS POA TO MAKE DECISIONS ON MY BEHALF. I DO NOT HAVE ANY ACTIVE ROLE WITH THE COMPANY NOR RECEIVE ANY MONEY FROM IT. I*114259 For profit or not for profit: For-Profit Organization Name of outside business organization: EcoPhant Auto LLC Investment related: N Address of business: Boca Raton, Florida 33431 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 5/19/2018 Number of hours devoted: 0 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: It is a car and industrial washing services business. I am not involved in the business activities but I am 50% owner. the other 50% is my husband's and he manages the company.