Rocco Papandrea

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

• 01/1995 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 01/2011 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

BUSINESS OR ACTIVITY NAME: SFDS DEVELOPMENT CORP. DBA LOTT COMMUNITY DEVELOPMENT CORP FOR PROFIT OR NOT FOR PROFIT: NOT FOR PROFIT INVESTMENT RELATED: (YES OR NO) NO ADDRESS OF BUSINESS: 1261 5TH AVE., NY, NY 10029 NATURE OF BUSINESS: NOT FOR PROFIT AFFORDABLE HOUSING DEVELOPER AND MANAGEMENT CO. YOUR POSITION, TITLE, ASSOCIATION: SECRETARY START DATE OF RELATIONSHIP: 1/15/2011 NUMBER OF HOURS DEVOTED PER MONTH: 2 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 YOUR DUTIES: SERVE AS A BOARD MEMBER AND SECRETARY FOR ORGANIZATION. DO NOT HAVE ANY FINANCIAL SIGNATORY AUTHORITY. THE SFDS COMMUNITY DEVELOPMENT CORPORATION WAS FOUNDED ON A SINGLE MISSION: TO BUILD A BETTER QUALITY OF LIFE FOR NEW YORK'S ELDERLY, THOSE WHO WERE FORMERLY HOMELESS, AND INDIVIDUALS OF LOW TO MODERATE INCOME, BY PROVIDING THEM WITH CLEAN, SAFE HOUSING AND SUPPORTIVE SERVICES THAT HELP THEM LEAD INDEPENDENT AND FULFILLING LIVES. SINCE OPENING ITS FIRST SITE IN 1988, SFDS CDC HAS GROWN TO BECOME A LEADING FORCE IN REVITALIZING THE CHANGING EAST HARLEM COMMUNITY, HELPING THOUSANDS OF NEW YORKERS LIVE WITH DIGNITY AND RESPECT. I*468428 For profit or not for profit: Entity Charitable Name of outside business organization: SOMOS Community Cares Investment related: N Address of business: Bronx, New York, 10463 Nature of business: ["Hospital or Healthcare System"] Position, title, association: ["Board Member"], Start date of relationship: 1/1/2022 Number of hours devoted: 20 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , NYS DSRIP Member of the Finance Committee

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-06-23
• S63 Uniform Securities Agent State Law Examination
  1990-06-01