Robert Sauer

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	2004-02-12
FL	RA	APPROVED	1983-05-09

TX RA
APPROVED_RES

Since 2004-02-12
FL RA
APPROVED

Since 1983-05-09

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	West Lauderdale	FL	05/1967	Present
Bank Of America,N.A.	Coral Springs	FL	06/2011	Present

05/1967 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

West Lauderdale, FL
06/2011 → Present

Bank Of America,N.A.

Coral Springs, FL

Other Businesses

I*3371274, Entity Type, Name of OBA: estate of S S Address: ParklandFlorida33067 Investment Related: No Position, Title, Association: Executor Employee Start Date:12/23/2025 No Hours: 3 monthly No Hours during trading: 3 monthly Duties: I*3615265 Entity Type: N/A Name of OBA: ROBERT C SAUER EXEC EST OF S S Address: Parkland, Florida, 33067 Investment Related: No Position, Title, Association: Executor Employee Start Date: 12/20/2025 Number of Hours: 3, Monthly Number of Hours during trading: 1, Monthly Duties: Spouse

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-07-23
S63	Uniform Securities Agent State Law Examination	1980-07-22

S65 Uniform Investment Adviser Law Examination

1996-07-23
S63 Uniform Securities Agent State Law Examination

1980-07-22

Other Names

Robert C Sauer
Robert Charles Sauer
Robert Sauer

View on SEC IAPD