Radford Sells Neuhaus

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
  Houston, TX
• 05/2011 → Present
  Bank Of America, N.A.
  Houston, TX

Previous Registrations

• 1998-01-01 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Houston, TX
  Houston, TX

Other Businesses

I*8338 For profit or not for profit: For-Profit Organization Name of outside business organization: IDAHO LIVERPOOL Investment related: Y Address of business: Houston, Texas 77024 Nature of business: Limited Partnership, Position, title, association: Limited Partner, Start date of relationship: 10/1/2007 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Entity to hold real estate (undeveloped) NO duties necessary I*131918 For profit or not for profit: For-Profit Organization Name of outside business organization: Hackberry Haus Creekside Investment related: N Address of business: Houston, Texas 77024 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 7/3/2020 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Entity is established to hold a rural parcel of family land. No responsibilities or tasks. I*2396273, Entity Type: , Name of OBA: R S N EXEC EST OF P A. D. N, Address: Houston, Texas, 77024, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 17-Apr-2025, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-09-28
• S63 Uniform Securities Agent State Law Examination
  1993-10-07

Other Names

• Rad Neuhaus