Dukalion Tsapalas

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

• 05/2021 → 03/2022
  Crowninshield Financial Research
  Brookline, MA
• 05/2012 → 05/2021
  New York City Department Of Education
  New York, NY
• 08/2018 → 05/2022
  Babson College
  Wellesley, MA
• 11/2022 → 07/2023
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 01/2023 → 07/2023
  Northwestern Mutual Investment Services Llc
  New York, NY
• 06/2022 → 10/2022
  Unemployed
  New York, NY
• 09/2023 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 11/2023 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*: 2066325 Entity Type: Entity For Profit Name of OBA: Rivalista Inc, Address: New York, NY Investment Related: No Position, Title, Association: Employee Employee Start Date: 10/28/2024 Number of Hours: 4 hrs wkly Number of Hours during trading: 0 Duties: Rivalista Inc, is my family's sports Technology Company. Rivalista provides B2B technology solutions to professional sports teams and leagues. My role within the firm is providing support for business strategy and product development.

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-07-24
• S63 Uniform Securities Agent State Law Examination
  2023-01-23

Other Names

• Duke Tsapalas
• Dukalion B Tsapalas