Wendy Elizabeth Appelbaum

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

• 07/2014 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Scottsdale, AZ

Other Businesses

Name of the other businessLost in Translation, LLC Whether the business is investment-relatedNo Address of the other business Scottsdale, AZ 85260 Nature of the other businessTranslation services (Spanish/English) Your positionOwner Title, or relationship with the other businessOwner Start date of your relationship2/2006 - 2/2010 Approximate number of hours/month you devote to the other businessn/a Number of hours you devote to the other business during securities trading hoursn/a Briefly describe your duties relating to the other businessI was a foreign translator prior to joining ML in 2014 I*432072 For profit or not for profit: Entity For Profit Name of outside business organization: Diamond Solutions LLC Investment related: N Address of business: Scottsdale, Arizona, 85260 Nature of business: ["Limited Liability Company"] Position, title, association: ["Employee"], Start date of relationship: 7/1/2008 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Assistant work for my husbands company I have worked off and on for him since 2008 Currently i work less than 5 hrs week on the weekends

Exams

• S66 Uniform Combined State Law Examination
  2021-11-23

Other Names

• Wendy Elizabeth Gray