Karl Henry Pupke

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

• 05/1996 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 05/2011 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*77476 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LITTLE WHITE MARSH FARM INVESTMENT RELATED: N ADDRESS OF BUSINESS: LITTLE WHITE MARSH FARM RD, CENTREVILLE, MARYLAND 21617 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/1/1900 NUMBER OF HOURS DEVOTED: 12 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 3 DUTIES: AGRICULTURAL FARMING. 25% PARTNER (WITH SISTER AND 2 COUSINS) IN INHERITED FAMILY FARM (SINCE 1830-ABOVE DATE DID NOT GO BACK THAT FAR).

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-07-31
• S63 Uniform Securities Agent State Law Examination
  1996-07-17

Other Names

• Karl H Pupke