John Michael Swanson

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

• 10/2016 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boston, MA
• 05/2015 → 10/2016
  Unemployed
  Medfield, MA
• 02/2017 → Present
  Bank Of America, N.A.
  Boston, MA

Other Businesses

I*110797 For profit or not for profit: Non-Profit Organization Name of outside business organization: Juvenile Diabetes Research Foundation Investment related: N Address of business: Boston, Massachusetts 02110 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 3/1/2017 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Member of the Young Leadership Committee in Boston. We work to increase awareness and raise money to cure Type 1 Diabetes. Its a small group (12 people), and I am working with 5 other members of the YLC to plan fundraising events in the future. I*120447 For profit or not for profit: Non-Profit Organization Name of outside business organization: Juvenile Diabetes Research Foundation Investment related: N Address of business: New York, New York 10004 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 3/1/2016 Number of hours devoted: 5 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Part of the Young Leadership Committee (YLC) in Boston, setting up awareness & fundraising events for JDRF.

Exams

• S66 Uniform Combined State Law Examination
  2016-12-08
• S63 Uniform Securities Agent State Law Examination
  2010-12-23