Richard Adams

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

• 09/2001 → Present
  New York University
  New York, NY
• 05/2006 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ

Previous Registrations

• 2005-08-12 → 2006-03-17
  Ameriprise Financial Services, Llc
  W. Conshohocken, PA

Exams

• S66 Uniform Combined State Law Examination
  2005-08-11

Other Names

• Richard John Adams