John Kettmann

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

• 10/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Saratoga, CA
• 06/2011 → Present
  Bank Of America,N.A.
  San Jose, CA

Previous Registrations

• 2004-01-16 → 2009-10-23
  Banc Of America Investment Services, Inc.
  San Jose, CA
  Los Gatos, CA
  San Jose, CA
  Saratoga, CA
  San Jose, CA
• 1997-07-08 → 2004-01-21
  Morgan Stanley Dw Inc.
  San Jose, CA

Other Businesses

II.BUSINESS NAME: QUANTUM MRI, INC, LOCATED IN DENVER, CO 80203. PRTC EFFECTIVE 09/26/2008. INVESTOR ONLY IN MRI IMAGING BUSINESS. NO DUTIES OR RESPONSIBILITIES III. FOR-PROFIT ORGANIZATION OWNER 3 RENTAL PROPERTIES: LOS GATOS CALIFORNIA (2) SAN JOSE, CALIFORNIA 95128 I*47627 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CONDO RENTAL INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN JOSE, CALIFORNIA 95070 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 12/25/2011 NUMBER OF HOURS DEVOTED: 15 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CONDO RENTAL FOR INVESTMENT I*63386 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CONDO RENTAL #2 INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN JOSE CA 95128 NATURE OF BUSINESS: OTHER RENTAL PROPERTY POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 5/1/2013 NUMBER OF HOURS DEVOTED: 10 ANNUALLY HOUR(S) NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: CONDO RENTAL I*63387 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HOME RENTAL INVESTMENT RELATED: N ADDRESS OF BUSINESS: LOS GATOS CA 95030 NATURE OF BUSINESS: OTHER INVESTMENT HOME RENTAL POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 5/1/2013 NUMBER OF HOURS DEVOTED: 5 ANNUALLY HOUR(S) NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HOME RENTAL I*7569 For profit or not for profit: Name of outside business organization: Commerical Rental Investment related: Address of business: Capitola, California 95010 Nature of business: , Position, title, association: , Start date of relationship: 1/1/2019 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 Duties: I*8225 For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business: Capitola, California 95010 Nature of business: , Position, title, association: , Start date of relationship: 6/8/2019 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 Duties:

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-12-20
• S63 Uniform Securities Agent State Law Examination
  1991-05-29

Other Names

• John Robert Kettman
• John Robert Kettmann
• John R Kettmann