Vincent Y Ricci

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
TX	RA	APPROVED	2026-02-13
WA	RA	APPROVED	2025-12-05

TX RA
APPROVED

Since 2026-02-13
WA RA
APPROVED

Since 2025-12-05

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

10400 Ne 4Th St, Bellevue, WA 98004 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bellevue	WA	01/2025	Present
Swan Venture Fund	Mercer Island	WA	08/2023	01/2025
Purdue University	West Lafayette	IN	08/2018	08/2023
Mercer Island High School	Mercer Island	WA	09/2014	08/2018
Pagliacci Pizza, Inc.	Mercer Island	WA	07/2017	08/2019

01/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bellevue, WA
08/2023 → 01/2025

Swan Venture Fund

Mercer Island, WA
08/2018 → 08/2023

Purdue University

West Lafayette, IN
09/2014 → 08/2018

Mercer Island High School

Mercer Island, WA
07/2017 → 08/2019

Pagliacci Pizza, Inc.

Mercer Island, WA

Other Businesses

I*: 2181301 Name: American Fulfillment Holdings LLC Investment related: No Address: Mercer Island, WA Your position: Sole Owner Start date of your relationship: Jan 2023 Approximate number of hours/month you devote to the other business: 0 Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: Holding company LLC. Holding company for American Fulfillment LLC. No duties. I*: 2182277 Name of the other business: American Fulfillment LLC Investment related: No Address of the other business: Mercer Island, WA Your position: President Start date of your relationship: Jan 2023 Approximate number of hours/month you devote to the other business: 0 Number of hours you devote to the other business during securities trading hours: 0 Briefly describe your duties relating to the other business: Currently Inactive, when it was active I would sell household items like napkins and toothpicks via Amazon Seller Central. Family held business on Amazon.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-12-04

S66 Uniform Combined State Law Examination

2025-12-04

Other Names

Vincent Yung-Sheng Ricci

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