Stephen Michael Horiuchi

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

• 06/2000 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 05/2011 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I* 409603 For profit or not for profit: Entity For Profit Name of outside business organization: GLEN OAK ROAD PROPERTIES, LLC Investment related: no Address of business: Venice, FL, 34293 Nature of business: Limited Liability Company Position, title, association: General Partner/Managing Member Start date of relationship: 07/09/2021 Number of hours devoted: 20 yearly Number of hours devoted during trading hours: 0 Duties: inherited house - i would like to list as seasonal rental. i am submitting for approval before opening llc.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-08-14
• S63 Uniform Securities Agent State Law Examination
  1993-07-27