David Jay Bass

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

• 12/2008 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Plantation, FL
• 09/2009 → Present
  Bank Of America, N.A.
  Plantation, FL

Previous Registrations

• 2007-04-02 → 2008-12-16
  Morgan Stanley & Co. Llc
  Boca Raton, FL
• 1993-04-27 → 2007-04-02
  Morgan Stanley Dw Inc.
  Coral Springs, FL
  Boca Raton, FL
  Coral Springs, FL

Other Businesses

I*115775For profit or not for profit: For-Profit OrganizationName of outside business organization: DJB Aviation LLCInvestment related: NAddress of business:Pompano Beach, Florida 33060Nature of business: LLC,Position, title, association: Owner, Start date of relationship: 8/1/2018Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: To limit potential liability from personal use of aircraft. I*134577For profit or not for profit: For-Profit OrganizationName of outside business organization: SFDB Aviation Inc.Investment related: NAddress of business:Okeechobee, Florida 34972Nature of business: Corporation,Position, title, association: Officer, Start date of relationship: 12/1/2020Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: SFDB will own a 1979 Cessna 152 that will be used personally used and by which will be only asset in SFDB. The primary purpose of SFDB Aviation is to manage liability. I*1691272Entity Type, Name of OBA: Sunny Shores Sea Camp- Sporting Clay Fundraiser CommitteeAddress: Investment Related: NoPosition, Title, Association: Employee Start Date: No Hours: No Hours during trading: Duties: Form a committee to help Sunny Shores host a Sporting Clay Fun Shoot to raise funds for the 501(c3). I*4167266, Entity Type not for profit , Name of OBA: Step Into Swim Address: AlexandriaVirginia22314 Investment Related:No Position, Title, Association: "I have no title" Employee Start Date: 04/13/2026 No Hours: 20 yearly No Hours during trading: 0 Duties: participate in their sporting clay fun shoot event,Our mission is to create more swimmers. By investing in the next generation of swimmers through learn-to-swim programming in underserved communities, the Step Into Swim initiative works to instill confidence; empower long-term participation in water activities; tout the positive benefits of water play; and advocate for safe practices in and around the water. I*4908269 Entity Type: Fiduciary role Name of OBA: J. B. Address: Houston, Texas, 77044 Investment Related: No Position, Title, Association: Executor Employee Start Date: 07/13/2026 Number of Hours: 0 Number of Hours during trading: 0 Duties: Executor/Parents

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-03-09
• S63 Uniform Securities Agent State Law Examination
  1993-05-10