Wendy Sue Aspaas

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

• 12/2010 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sioux Falls, SD

Previous Registrations

• 2010-06-30 → 2010-12-14
  Wells Fargo Investments, Llc
  Sioux Falls, SD
  Sioux Falls, SD
  Sioux Falls, SD
  Sioux Falls, SD

Other Businesses

I*3550271Entity Type: N/AName of OBA: K A A Trust, acting as Co TrusteeAddress: Sioux Falls, South Dakota, 57110Investment Related: NoPosition, Title, Association: Co-TrusteeEmployee Start Date: 01/26/2026Number of Hours: 5, YearlyNumber of Hours during trading: 0, YearlyDuties: Spouse I*3610272 Entity Type: N/A Name of OBA: K A A TTEE WENDY S ASPAAS TTEE U/A DTD 11/15/2022 Address: Sioux Falls, South Dakota, 57110 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 01/22/2026 Number of Hours: 5, Yearly Number of Hours during trading: 0, Yearly Duties: Spouse I*3610274 Entity Type: N/A Name of OBA: K A A TTEE WENDY S ASPAAS TTEE U/A DTD 11/15/2022 Address: Sioux Falls, South Dakota, 57110 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 01/22/2026 Number of Hours: 5, Yearly Number of Hours during trading: 0, Yearly Duties: Spouse

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-11-02
• S63 Uniform Securities Agent State Law Examination
  1993-12-08

Other Names

• Wendy Sue Kleinsasser