Joshua Matloff Jespersen

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
CA	RA	APPROVED	2020-11-06
TX	RA	APPROVED	2007-01-23
CT	RA	APPROVED	2006-09-19

NY RA
APPROVED

Since 2021-04-19
CA RA
APPROVED

Since 2020-11-06
TX RA
APPROVED

Since 2007-01-23
CT RA
APPROVED

Since 2006-09-19

Branch Locations

Trabuco Canyon, CA • United States

520 Newport Center Dr, Newport Beach, CA 92660 • 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	New York	NY	06/2006	Present
Bank Of America, Na	New York	NY	09/2009	Present

06/2006 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
09/2009 → Present

Bank Of America, Na

New York, NY

Other Businesses

I*117102 For profit or not for profit: For-Profit Organization Name of outside business organization: Carbon Based Comics and Games LLC Investment related: N Address of business: Livingston, New Jersey 7039 Nature of business: LLC, Position, title, association: Owner, Investor - financial support. Start date of relationship: 9/4/2018 Number of hours devoted: 260 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Online and retail sales of collectibles including comics, cards and games. My responsibilities will be to provide funding for start up costs for this hobby shop style business. Partner and owner Patrick Giordano will handle day to day operations.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-09-18

S66 Uniform Combined State Law Examination

2006-09-18

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