Roberto Cespedes

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

• 09/2013 → 02/2020
  Jpmorgan Chase Bank, N.A.
  Denton, TX
• 03/2020 → 10/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Frisco, TX
• 03/2020 → 10/2021
  Bank Of America
  Frisco, TX
• 10/2013 → 02/2020
  J.P. Morgan Securities Llc
  Denton, TX
• 11/2021 → 04/2024
  Jpmorgan Chase Bank, N.A.
  Denton, TX
• 11/2021 → 04/2024
  J.P. Morgan Securities Llc
  Denton, TX
• 04/2024 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Lewisville, TX
• 05/2024 → Present
  Bank Of America N.A.
  Lewisville, TX

Previous Registrations

• 2022-02-15 → 2024-04-02
  J.P. Morgan Securities Llc
  Denton, TX
• 2020-12-08 → 2021-10-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Frisco, TX
  New York, NY

Exams

• S66 Uniform Combined State Law Examination
  2020-12-04
• S63 Uniform Securities Agent State Law Examination
  2013-12-11

Other Names

• Rob Cespedes