Dafna M Klein

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2014-08-12

FL RA
APPROVED

Since 2014-08-12

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

19495 Biscayne Blvd, Aventura, FL 33180 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Miami	FL	08/2014	Present

08/2014 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miami, FL

Previous Registrations

2011-03-01 → 2014-08-12

Ubs Financial Services Inc.

Hallandale Beach, FL

Other Businesses

I*4588307 Entity Type: Fiduciary role Name of OBA: O. B. K. TTEE D. M. K. TTEE U/A DTD 10/13/2021 Address: North Miami Beach, Florida, 33179 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 10/01/2026 Number of Hours: 1, Yearly Number of Hours during trading: 0 Duties: Co-Trustee/Self, Spouse

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-02-24

S66 Uniform Combined State Law Examination

2011-02-24

Other Names

Dafna Toledo
Dafna Mercedes Toledo
Dafna M Toledo

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