Gregory A Shanaphy

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

• 09/2008 → 06/2025
  Ubs Financial Services Inc
  New York, NY
• 06/2025 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Summit, NJ
• 07/2025 → Present
  Bank Of America, N.A.
  Summit, NJ

Previous Registrations

• 2007-08-24 → 2025-06-24
  Ubs Financial Services Inc.
  New York, NY
  Green Village,, NJ
• 2003-10-17 → 2007-08-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  New York, NY
• 2002-07-02 → 2003-11-14
  Equitable Advisors, Llc
  New York, NY

Other Businesses

I*: 2562310 Entity Type: Charitable Name of OBA: Seton Hall Prep Address: PrepWest Orange, NJ 07052 Investment Related: No Position, Title, Association: Committee,Board Member Employee Start Date: 01/20/2020 Number of Hours: 2 hrs mthly Number of Hours during trading: 1 hr mthly Duties: Private high school. Board alumni committee. Sit on the alumni committee, I raise money for scholarship fund, speak at alumni events and mentor students. I*: 2564274 Entity Type: Charitable Name of OBA: Montclair State university Address: Montclair, NJ 07043 Investment Related: No Position, Title, Association: Board member Employee Start Date: 09/04/2023 Number of Hours: 2 hrs mthly Number of Hours during trading: 1 hr mthly Duties: Member of the board at the university. sit on the finance committee and alumni committee. Sit on the board of Montclair state university's endowment I use my years of experience in the financial world to help advise the endowment board. the endowment is run by Goldman Sachs. I have no authority to make investment decisions, I do not have authority or make any final investments that is all up to the investment managers at Goldman Sachs

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-08-20
• S63 Uniform Securities Agent State Law Examination
  1998-11-07