Dean Alan Woolworth

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

• 10/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Portland, OR
• 10/2009 → Present
  Bank Of America, Na
  Lake Oswego, OR

Previous Registrations

• 2004-12-10 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Portland, OR
  Portland, OR

Other Businesses

I*4962268 Entity Type: Fiduciary role Name of OBA: MLPF& S CUST FPO S. M W. RRA FBO S. M W. Address: Lake Oswego, Oregon, 97034 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/17/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Power of Attorney/Parents

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-12-09
• S63 Uniform Securities Agent State Law Examination
  2001-04-09