Adam M Walsh

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
NY	RA	APPROVED	2021-04-19
MS	RA	APPROVED	2020-11-20
VT	RA	APPROVED	2020-11-20
RI	RA	APPROVED	2017-01-06
TX	RA	APPROVED_RES	2015-02-12
NJ	RA	APPROVED	2003-12-18

NY RA
APPROVED

Since 2021-04-19
MS RA
APPROVED

Since 2020-11-20
VT RA
APPROVED

Since 2020-11-20
RI RA
APPROVED

Since 2017-01-06
TX RA
APPROVED_RES

Since 2015-02-12
NJ RA
APPROVED

Since 2003-12-18

Branch Locations

Londonderry, VT • United States

39 Bonnet St, Manchester Center, VT 05255 • 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	New York	NY	08/2003	Present
Bank Of America, N.A.	New York	NY	09/2010	Present

08/2003 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
09/2010 → Present

Bank Of America, N.A.

New York, NY

Other Businesses

I*670258, Name of OBA: New York Yacht Club Address: New York, NY Investment Related: Yes Position, Title, Association: Committee Employee Start Date: 1/18/2022 No Hours: 20 Yearly No Hours during trading: 0 Duties: I*1965273, Entity Type, Name of OBA: Rental Property 1 Address: LondonderryVermont05148 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 04/01/2024No Hours: 5 monthly No Hours during trading: 0 Duties:. I*429195, Entity Type: Entity For Profit, Name of OBA: Walsh Water Services, Address: Newpoer Ri, Rhode Island 02840, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 05/01/2017, No Hours: 30, No Hours during trading: 0, Duties: Business will Operate dinner charter/ cruise boat in Newport RI. Other services will be running a salvage, and bottom cleaning business for racing yachts

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-10-15
S63	Uniform Securities Agent State Law Examination	1994-03-23

S66 Uniform Combined State Law Examination

2003-10-15
S63 Uniform Securities Agent State Law Examination

1994-03-23

Other Names

Adam Michael Walsh

View on SEC IAPD