Allen Ward Rosin

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
MI	RA	APPROVED	2010-05-04
OH	RA	APPROVED	2005-10-31
TX	RA	APPROVED_RES	1994-07-18

MI RA
APPROVED

Since 2010-05-04
OH RA
APPROVED

Since 2005-10-31
TX RA
APPROVED_RES

Since 1994-07-18

Branch Locations

17000 Kercheval Ave, Grosse Pointe, MI 48230 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Detroit	MI	09/1978	Present
Bank Of America, N.A.	Grosse Pointe	MI	09/2009	Present

09/1978 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Detroit, MI
09/2009 → Present

Bank Of America, N.A.

Grosse Pointe, MI

Other Businesses

(1)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFITNAME OF OUTSIDE BUSINESS ORGANIZATION: ALLEN ROSININVESTMENT RELATED: NADDRESS OF BUSINESS: GROSSE POINTE FARMS, MI 48236NATURE OF BUSINESS: COPYRIGHT OF A BOARD GAMEPOSITION, TITLE, ASSOCIATION: INVENTORSTART DATE OF RELATIONSHIP: 08/18/2009NUMBER OF HOURS DEVOTED PER MONTH: 1-10NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 1-10DUTIES: I WISH TO COPYRIGHT A BOARD GAME I INVENTED. NO MARKETING PLANS YET. THE BOARD GAME IS HISTORICAL NOT FINANCIAL. I*2631268, Entity Type: Entity For Profit, Name of OBA: Physics Pamphlet, Address: Grosse Pointe Farms, Michigan, 48236, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 07/23/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I have to write the paper and submit to Amazon i wan to publish a physics pamphlet on Amazon

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-06-08
S63	Uniform Securities Agent State Law Examination	1988-12-27

S66 Uniform Combined State Law Examination

2007-06-08
S63 Uniform Securities Agent State Law Examination

1988-12-27

View on SEC IAPD