Amy M Simon

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

• 03/2016 → 11/2016
  Wells Fargo Advisors, Llc
  Chicago, IL
• 11/2016 → 02/2018
  Wells Fargo Clearing Services, Llc
  Chicago, IL
• 03/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 04/2022 → Present
  Bank Of America, N.A.
  Chicago, IL

Previous Registrations

• 2016-04-19 → 2018-02-27
  Wells Fargo Clearing Services, Llc
  Chicago, IL
• 2015-09-09 → 2016-03-10
  Wells Fargo Clearing Services, Llc
  Waukesha, WI
• 2006-07-07 → 2015-08-04
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
  Northbrook, IL
• 2006-03-06 → 2006-05-11
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Other Businesses

RENTAL PROPERTY; INV RELATED; OAK PARK, IL; CONDO; 100% OWNERSHIP; START 10/20/2015; 1 HOUR PER MONTH, 0 DURING TRADING; OWNER.

Exams

• S66 Uniform Combined State Law Examination
  2006-03-03
• S63 Uniform Securities Agent State Law Examination
  1998-06-02

Other Names

• Amy Marie Simon