David William Dorward

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

• 07/1997 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sun City West, AZ
• 12/2009 → Present
  Bank Of America, Na
  Scottsdale, AZ

Other Businesses

I*72182 For profit or not for profit: Non-Profit Organization Name of outside business organization: Fiesta Bowl Committee Investment related: N Address of business: Scottsdale, Arizona 85251 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 5/2/2011 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: The committee is part of the Fiesta Bowl Org which puts on the BWW Bowl and the Fiesta Bowl along with various other ancillary functions throughout the year. The committee is a non-profit which contributs over $1 million+ year for local charities. I*111941 For profit or not for profit: Non-Profit Organization Name of outside business organization: NFL Liaison White Glove Program Investment related: N Address of business: New York, New York 10154 Nature of business: Charitable Organization, Position, title, association: Participant, Start date of relationship: 2/1/2018 Number of hours devoted: 30 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Helping Liaison NFL Owner for the Super Bowl and related venues. I*122088 For profit or not for profit: Non-Profit Organization Name of outside business organization: Fiesta Bowl Investment related: N Address of business: Scottsdale, Arizona 85251 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 4/10/2019 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I am currently on the Fiesta Bowl Committee and the organization's Board is asking for me to help serve on the Budget and Finance Committee to help monitor how the non-profit organization is spending it's money. I*130682 For profit or not for profit: Non-Profit Organization Name of outside business organization: Fiesta Bowl Board of Directors Investment related: N Address of business: Scottsdale, Alabama 85251 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 3/31/2020 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Active Member of Board of Directors for the Fiesta Bowl. Similar to Committee Role but now more in-depth with planning for the future and ongoing strategic operations for the bowl.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-09-01
• S63 Uniform Securities Agent State Law Examination
  1995-11-14