Samuel Smith

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

• 07/2018 → 08/2019
  Charles Schwab & Co., Inc.
  Indianapolis, IN
• 09/2014 → 07/2018
  Royal United Mortgage
  Indianapolis, IN
• 08/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Indianapolis, IN
• 02/2023 → Present
  Bank Of America, N.A.
  Indianapolis, IN

Previous Registrations

• 2019-06-13 → 2019-08-12
  Charles Schwab & Co., Inc.
  Indianapolis, IN

Other Businesses

I*5486268, Entity Type: , Name of OBA: J M S Living Trust , Address: Carmel, Indiana, 46033, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 08/19/2026, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

• S66 Uniform Combined State Law Examination
  2019-06-13
• S63 Uniform Securities Agent State Law Examination
  2019-01-15

Other Names

• Samuel B Smith