Dana Lynn Carbonneau

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2024-09-12
TX	RA	APPROVED	2024-09-12

IL RA
APPROVED

Since 2024-09-12
TX RA
APPROVED

Since 2024-09-12

Branch Locations

110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley	Chicago	IL	03/2015	09/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	09/2024	Present
Bank Of America, N.A.	Chicago	IL	11/2024	Present

03/2015 → 09/2024

Morgan Stanley

Chicago, IL
09/2024 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
11/2024 → Present

Bank Of America, N.A.

Chicago, IL

Previous Registrations

2015-03-02 → 2024-09-26

Morgan Stanley

Chicago, IL

Chicago, IL

Chicago, IL

Lincolnshire, IL

Other Businesses

I*2924268 Entity Type: N/A Name of OBA: R.E.C. Address:Lincolnshire Illinois Investment Related:No Position, Title, Association:Co-Trustee Start Date:09/01/2025 No Hours: 1 Yearly No Hours during trading:0 Yearly Duties:Co-Trustee for Spouse

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-03-02

S66 Uniform Combined State Law Examination

2015-03-02

Other Names

Dana Lynn Hartnett

View on SEC IAPD