Chad D Allen

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

• 06/2020 → 05/2022
  University Of Miami
  Coral Gables, FL
• 06/2018 → 09/2021
  Self Employed - Real Estate
  Redwood City, CA
• 06/2022 → 03/2024
  Citigroup
  Miami, FL
• 05/2024 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Coral Gables, FL
• 08/2014 → 08/2018
  University Of Miami
  Coral Gables, FL
• 06/2024 → Present
  Bank Of America, N.A
  Coral Gables, FL

Previous Registrations

• 2022-10-11 → 2024-04-05
  Citigroup Global Markets Inc.
  Greenwich, CT
  Miami, FL
  Washington, DC

Other Businesses

Yes Name of business: Keto health Not Investment relatedKetohealth LLC 2043 Sr 7 Ste Boca Raton, FL 33498I partnered with a close friend of mine. We co own a for profit LLC. I help with marketing strategy and brand relationships. I do not dedicate any time during normal working hours. No Merrill clients are involved. I am co-owner. The start date was 05/09/24. The approximate number of hours per month I devote to this is 1-2. These hours I do not devote during securities trading hours.I*,1855285 Entity Type, For ProfitName of OBA: Daybreak Fit LLCAddress:St. Petersburg,FL,33702 Investment Related: NOPosition, Title, Association: OwnerEmployee Start Date: 04/24/2024No Hours:0 YEARLY No Hours during trading: 0Duties:I founded a health and wellness brand. The brand sells health and wellness products. I have set it up so that it does not require very much of my time if any through virtual assistants and a manager.I*, 1855287Entity Type, For Profit Name of OBA:Daybreak Oversight LLC Address: Sheridan,Wyoming,82801Investment Related: noPosition, Title, Association: OwnerEmployee Start Date: 04/24/2024No Hours:o yearly No Hours during trading: 0Duties:This LLC holds and manages Daybreak Fit LLC. Besides that, this LLC does not do any further business.I*2389285, Entity Type: Entity For Profit, Name of OBA: Titanium Roofing Group, Address: Sheridan, Wyoming, 82801, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 03/13/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: This is just the holding company for ownership in titanium roofing experts llc.I*2389284, Entity Type: Entity For Profit, Name of OBA: titanium Roofing Experts LLC, Address: St Petersburg, Florida, 33702, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 03/14/2025, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: Managing partner in a roofing company that is starting up. Will be helping advise on the business from a high level. Will not be tied into day to day operations. Will be helping advise the partners and family in the roofing business based on personal prior roofing experience. I*3843286 Entity Type: Entity For Profit Name of OBA: Sand Club Miami Address: Miami, Florida, 33137 Investment Related: No Position, Title, Association: General Partner/Managing Member,Owner Employee Start Date: 03/23/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: This LLC request to be formed so that we can reserve beach volleyball courts on Miami beach through the parks and rec department. This is an entity for beach volleyball on Miami Beach. Submitting requests to the city of Miami beach to reserve beach volleyball courts so that our friends can play uninterrupted.

Exams

• S66 Uniform Combined State Law Examination
  2022-08-23

Other Names

• Chad Allen