Shubhro Bose

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
NY	RA	APPROVED	2021-04-19
NJ	RA	APPROVED	2021-04-18
TX	RA	APPROVED	2007-10-10

NY RA
APPROVED

Since 2021-04-19
NJ RA
APPROVED

Since 2021-04-18
TX RA
APPROVED

Since 2007-10-10

Branch Locations

Westfield, NJ • United States

225 Liberty St, New York, NY 10281 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	03/2003	Present
Bank Of America, N.A.	New York	NY	04/2010	Present

03/2003 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
04/2010 → Present

Bank Of America, N.A.

New York, NY

Other Businesses

I*11142 For profit or not for profit: Name of outside business organization: Shubhro & Konika Bose Investment related: Address of business: Wildwood Crest, New Jersey 8260 Nature of business: , Compensation for Activity: Position, title, association: , Start date of relationship: 7/17/2021 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-12-02

S66 Uniform Combined State Law Examination

1998-12-02

View on SEC IAPD