John Paul Rogge

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	2016-11-28
FL	RA	APPROVED	2016-11-22

TX RA
APPROVED_RES

Since 2016-11-28
FL RA
APPROVED

Since 2016-11-22

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	09/1970	Present
Bank Of America,N A	Boca Raton	FL	09/2009	11/2016
Bank Of America,N A	Boca Raton	FL	11/2016	Present

09/1970 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL
09/2009 → 11/2016

Bank Of America,N A

Boca Raton, FL
11/2016 → Present

Bank Of America,N A

Boca Raton, FL

Previous Registrations

1983-05-09 → 2016-11-11

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL

Boca Raton, FL

Other Businesses

I*2067272, Entity Type Fiduciary, Name of OBA: K P. R Trust / 2/24/1986 Address: Boca Raton, Florida, 33432 Investment Related: Yes Position, Title, Association: Co/Trustee Employee Start Date: 24/Feb/1986 No Hours: 2 Monthly No Hours during trading: 2 Monthly Duties:

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-05-04
S63	Uniform Securities Agent State Law Examination	1980-01-29

S65 Uniform Investment Adviser Law Examination

1994-05-04
S63 Uniform Securities Agent State Law Examination

1980-01-29

View on SEC IAPD