Michael Stephen Mumford

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

• 02/1992 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Durham, NC
• 09/2009 → Present
  Bank Of America, Na
  Durham, NC

Other Businesses

I*2311279, Entity Type: , Name of OBA: C W M, Address: Durham, North Carolina, 27707, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08-Apr-2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2311278, Entity Type: , Name of OBA: M F M, Address: Durham, North Carolina, 27707, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08-Apr-2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

• S66 Uniform Combined State Law Examination
  2002-09-16
• S65 Uniform Investment Adviser Law Examination
  1994-04-29
• S63 Uniform Securities Agent State Law Examination
  1992-08-03