Steven Lloyd Gottlieb

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

• 07/2015 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 09/2015 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2009-11-10 → 2015-08-08
  Barclays Capital Inc.
  New York, NY
• 2008-09-19 → 2009-11-19
  Ubs Financial Services Inc.
  New York, NY
• 2008-03-26 → 2008-10-02
  Lehman Brothers Inc.
  New York, NY
  New York, NY
  New York, NY

Other Businesses

I*83676 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GOTTLIEB 2012 TRUST INVESTMENT RELATED: Y ADDRESS OF BUSINESS: BROOKVILLE, NEW YORK 11545 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 1/31/2012 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: TRUSTEE ON FAMILY TRUST. HELP WITH ASSET ALLOCATION WITH OTHER TRUSTEES

Exams

• S66 Uniform Combined State Law Examination
  2008-03-25
• S63 Uniform Securities Agent State Law Examination
  2005-10-26

Other Names

• Steven Gottlieb