Leo B Kay

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

• 01/2014 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Citrus Heights, CA
• 02/2014 → Present
  Bank Of America, N.A.
  Citrus Heights, CA

Previous Registrations

• 2011-01-03 → 2014-01-06
  Wells Fargo Clearing Services, Llc
  San Mateo, CA
  Belmont, CA
  Palo Alto, CA
  San Mateo, CA
• 2009-03-25 → 2011-01-03
  Wells Fargo Investments, Llc
  Belmont, CA

Other Businesses

I*: 2506281 Entity Type: Fiduciary role Name of OBA: K. Family Living Trust Address: Folsom, CA 95630 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 08/24/2009 Number of Hours: 0 Number of Hours during trading: 0 Duties: Successor Trustee for family trust

Exams

• S66 Uniform Combined State Law Examination
  2009-03-24

Other Names

• Leo Bernard Kay