Ramona Lee Locke

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

• 08/1980 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX
• 12/2009 → Present
  Bank Of America, N.A.
  Dallas, TX

Other Businesses

I*89734 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: TEXAS CHRISTIAN UNIVERSITY INVESTMENT RELATED: N ADDRESS OF BUSINESS: 2800 S UNIVERSITY DR, FT WORTH, TEXAS 76129 NATURE OF BUSINESS: OTHER, UNIVERSITY POSITION, TITLE, ASSOCIATION: OTHER, ADJUNCT PROFESSOR START DATE OF RELATIONSHIP: 9/1/2016 NUMBER OF HOURS DEVOTED: 12 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 12 DUTIES: TEACHING A FINANCIAL LITERACY CLASS TO COLLEGE STUDENTS--ONE HOUR CREDIT I*45203 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: URSULINE ACADEMY OF DALLAS FOUNDATION BOARD INVESTMENT RELATED: N ADDRESS OF BUSINESS: DALLAS, TEXAS 75229 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, FOUNDATION BOARD MEMBER START DATE OF RELATIONSHIP: 9/15/2011 NUMBER OF HOURS DEVOTED: 3 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: GIRLS CATHOLIC HIGH SCHOOL. I AM A BOARD MEMBER FOR THE FOUNDATION.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-04-15
• S63 Uniform Securities Agent State Law Examination
  1980-10-29

Other Names

• Ramona Lee Zini