Sarah Susan Tarpy

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
  Chicago, IL
• 07/2011 → Present
  Bank Of America, N.A.
  Chicago, IL

Previous Registrations

• 2003-07-09 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Chicago, IL
  Chicago, IL

Other Businesses

I*, 2154295 Entity Type: Charitable Name of OBA: The University Club of Chicago Address: Chicago, IL 60603 Investment Related: No Position, Title, Association: Committee Employee Start Date: 01/21/2025 No Hours: 2hrs per month No Hours during trading: 0 Duties: House Committee - I will serve to assist with the things that effect membership and the building

Exams

• S66 Uniform Combined State Law Examination
  2003-07-07
• S63 Uniform Securities Agent State Law Examination
  1996-04-29

Other Names

• Sarah Susan Tarpy