Barry Douglas Mordis

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	2004-07-22
FL	RA	APPROVED	1998-03-02

TX RA
APPROVED_RES

Since 2004-07-22
FL RA
APPROVED

Since 1998-03-02

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Boca Raton	FL	02/1998	Present
Bank Of America,Na	Boca Raton	FL	08/2009	Present

02/1998 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL
08/2009 → Present

Bank Of America,Na

Boca Raton, FL

Other Businesses

I*3760286Entity Type: Entity For ProfitName of OBA: BDMJBO, LLCAddress: Boca Raton, Florida, 33434Investment Related: NoPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 02/12/2026Number of Hours: 0, YearlyNumber of Hours during trading: 0, YearlyDuties: LLC for my privately held investment in Meadow Biosciences. The Meadow Biosciences investment is already listed and approved on AIM. I am the sole member of the LLC. No other responsibility.I*4508318, Entity Type: , Name of OBA: B D M TTEE D M M TTEE U/A DTD 08/12/2019 , Address: Boca Raton, Florida, 33434, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 04/28/2026, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: I*4509268, Entity Type: , Name of OBA: B D M TTEE D M M TTEE U/A DTD 08/12/2019 , Address: Boca Raton, Florida, 33434, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 04/28/2026, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: I*4509269, Entity Type: , Name of OBA: B D M TTEE D M M TTEE U/A DTD 08/12/2019 , Address: Boca Raton, Florida, 33434, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 04/28/2026, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: I*4564355 Entity Type: Fiduciary Role Name of OBA: B D M TTEE D M M TTEE U/A DTD 08/12/2019 Address: Boca Raton, Florida, 33434 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 06/01/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: Spouse I*4565339 Entity Type: Fiduciary Role Name of OBA: B D M TTEE D M M TTEE U/A DTD 08/12/2019 Address: Boca Raton, Florida, 33434 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 06/01/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: Spouse

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-04-17
S63	Uniform Securities Agent State Law Examination	1993-02-05

S65 Uniform Investment Adviser Law Examination

1998-04-17
S63 Uniform Securities Agent State Law Examination

1993-02-05

View on SEC IAPD