Catherine Tran Fellows

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

• 12/2010 → Present
  Bank Of America, N.A.
  New York, NY
• 12/2010 → Present
  Merrill Lynch, Pierce, Fenner And Smith Incorporated
  New York, NY

Previous Registrations

• 2010-12-17 → 2011-10-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Other Businesses

I*452201, Entity Type: Entity For Profit, Name of OBA: Mossy Fern, Address: Yonkers, New York 10703, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 05/19/2019, No Hours: 15, No Hours during trading: 0, Duties: This is a family business run by my husband Harry Fellows. It is an indoor plant company specializing in terrariums, bonsai and other exotic plants. I help him on weekends to sell inventory at outdoor markets and local craft fairs.

Exams

• S66 Uniform Combined State Law Examination
  2010-12-10

Other Names

• Catherine Tran
• Catherine Tran