Ashmi L Dave

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

• 09/2014 → 02/2022
  Hsbc Bank Usa, N.A.
  New York, NY
• 09/2014 → 02/2022
  Hsbc Securitites (Usa) Inc.
  New York, NY
• 02/2022 → 03/2023
  Citizens Securities, Inc.
  New York, NY
• 03/2023 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 03/2023 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2022-02-22 → 2023-03-21
  Citizens Securities, Inc.
  Albany, NY
  New York, NY
  New York, NY
• 2022-02-14 → 2022-02-22
  Hsbc Securities (Usa) Inc.
  New York, NY
  New York, NY
  New York, NY
  New York, NY

Other Businesses

Investment Property- 308 Monroe St, apt 3R, Hoboken, NJ 07030, Jan 2016- Owner, no hours during securities trading hours, co-own property with spouse. I*1885293, Entity Type, Name of OBA: Rental Property 2, Address: Hoboken, NJ, 07030, Investment Related: No, Position, Title, Association: Co-owner with other family members, Employee Start Date: 06/17/2024, No Hours: 0, No Hours during trading: 0, Duties:

Exams

• S66 Uniform Combined State Law Examination
  2022-02-14
• S63 Uniform Securities Agent State Law Examination
  2011-02-28