William Michael Lapato

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_RES	2005-01-14
FL	RA	APPROVED	1991-12-17

TX RA
APPROVED_RES

Since 2005-01-14
FL RA
APPROVED

Since 1991-12-17

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • 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	Boca Raton	FL	10/1991	Present
Bank Of America, N.A.	Boca Raton	FL	04/2011	Present

10/1991 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL
04/2011 → Present

Bank Of America, N.A.

Boca Raton, FL

Other Businesses

I*72568 For profit or not for profit: For-Profit Organization Name of outside business organization: Lisa's Dream LLC Investment related: N Address of business: Boca Raton, Florida 33486 Nature of business: LLC, Position, title, association: Other, manager paying bills Start date of relationship: 5/1/2014 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: created LLC to own real estate & pay any expenses

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-07-06
S63	Uniform Securities Agent State Law Examination	1991-12-18

S65 Uniform Investment Adviser Law Examination

1994-07-06
S63 Uniform Securities Agent State Law Examination

1991-12-18

View on SEC IAPD