Glenn Franklin Fuller

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
TX	RA	APPROVED_RES	2001-01-05
FL	RA	APPROVED	1992-02-20

TX RA
APPROVED_RES

Since 2001-01-05
FL RA
APPROVED

Since 1992-02-20

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Boca Raton	FL	06/1991	Present
Bank Of America, N.A.	Boca Raton	FL	04/2011	Present

06/1991 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL
04/2011 → Present

Bank Of America, N.A.

Boca Raton, FL

Other Businesses

I*28816 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FINRA INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NY, NEW YORK 10006 NATURE OF BUSINESS: OTHER,REGULATORY AUTHORITY POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 12/1/2009 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10 DUTIES: OTHER I*55548 For profit or not for profit: Non-Profit Organization Name of outside business organization: New York Yacht Club Investment related: N Address of business: New York, New York 10036 Nature of business: Other,an association of members Position, title, association: Committee Member, Start date of relationship: 6/19/2012 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 2 Duties: Private yacht club. I am a member of the Cruising Committee. We plan future cruising events for members that occur around the world.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-09-03
S63	Uniform Securities Agent State Law Examination	1984-05-23

S65 Uniform Investment Adviser Law Examination

1993-09-03
S63 Uniform Securities Agent State Law Examination

1984-05-23

View on SEC IAPD