Nicholas Plate

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

• 06/2015 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 08/2013 → 05/2017
  Bentley University
  New York, NY
• 10/2017 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2016-05-19 → 2016-09-09
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Other Businesses

I*1293248 For profit or not for profit: Name of outside business organization: Here to Serve Investment related: N Address of business: OBA, OBA, OBA Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Entity Purpose is to increase awareness and support for families going through a pediatric cancer diagnosis. My responsibility is to spread awareness, as well as provide expertise on efficient ways to market & fundraise to increase the scope & impact of

Exams

• S66 Uniform Combined State Law Examination
  2016-05-18