Sean Robert Waltz

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
  Scottsdale, AZ
• 06/2011 → Present
  Bank Of America,N.A.
  Phoenix, AZ

Previous Registrations

• 2002-08-15 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Scottsdale, AZ
  Scottsdale, AZ
  Scottsdale, AZ

Other Businesses

I*85600FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: BOYS & GIRLS CLUB OF METRO PHOENIXINVESTMENT RELATED: NADDRESS OF BUSINESS: PHOENIX, ARIZONA 85008NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 10/2/2015NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I WILL SERVE ON A SUBCOMMITTEE WITH OTHER BOARD MEMBERS CONSULTING ON A SMALL SHORT TERM ACCOUNT. AN OUTSIDE INDEPENDANT FIRM MANAGES THIS ACCOUNT AND MAKES THE INVESTMENT DECISONS. NO CLIENTS ARE ON THIS BOARD. I*3781307, Entity Type: Entity For Profit, Name of OBA: SWAZ Real Estate LLC, Address: Phoenix, Arizona, 85016, Investment Related: N, Position, Title, Association: ["General Partner/Managing Member"], Employee Start Date: 03/02/2026, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties: As a member of the LLC my role includes oversight of decisions. I will have a limited role within financial decisions of LLC, funding projects, etc. Residential real estate investments. This LLC will hold real estate purchases.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-28
• S63 Uniform Securities Agent State Law Examination
  1993-05-10