Regina L Wortham

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

• 07/1983 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX

Other Businesses

I*26938 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MEDIA DEFINED INC INVESTMENT RELATED: N ADDRESS OF BUSINESS: DALLAS, TEXAS 75226 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 5/1/2003 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10 DUTIES: PREPARE MONTHLY A/P FOR SIGNATURE AND APPROVAL BY PRESIDENT OFFICE ASSISTANT

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-03-20
• S63 Uniform Securities Agent State Law Examination
  1995-02-24