Chad Richard (Ii) Fleming

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

• 12/2009 → Present
  Bank Of America, Na
  Atlanta, GA
• 04/1994 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Atlanta, GA

Other Businesses

I*136333 For profit or not for profit: Non-Profit Organization Name of outside business organization: Northwest Presbyterian Church Investment related: N Address of business: atlanta, Georgia 30327 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 3/1/2021 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: My role will be on the finance committee which entails reviewing the annual budget and reviewing the investment accounts the church has established.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-07-01
• S63 Uniform Securities Agent State Law Examination
  1994-06-20

Other Names

• Charles R (Ii) Fleming
• Charlie Richard (Ii) Fleming