Douglas Clifford Bennet

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

• 01/1995 → 01/2026
  Ubs Financial Services Inc.
  Providence, RI
• 01/2026 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Providence, RI
• 03/2026 → Present
  Bank Of America, N.A.
  Providence, RI

Previous Registrations

• 1995-01-01 → 2026-01-15
  Ubs Financial Services Inc.
  Providence, RI
  Providence, RI
  North Providence, RI

Other Businesses

I*3596270 Entity Type: N/A Name of OBA: Chi Phi Alumni Association of URI Address: North Providence, Rhode Island Investment Related: No Position, Title, Association: Treasurer,Director Employee Start Date: 01/04/2024 Number of Hours: 12, Yearly Number of Hours during trading: 0, Yearly Duties: TO PROVIDE SUPPORT TO THE RHO IOTA KAPPA CHAPTER OF THE CHI PHI FRATERNITY. TO PARTICIPATE IN PROJECTS SPONSORED BY THE CHI PHI FRATERNITY AND THE CHI PHI EDUCATIONAL TRUST. TO PROMOTE THE PRINCIPLES OF TRUTH AND FRIENDSHIP AMONGST THE ALUMNI OF THE FRATERNITY. To assist with managing finances of the Association, paying bills, preparing forms 990, etc.

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-02-28
• S63 Uniform Securities Agent State Law Examination
  1983-05-27

Designations

• Certified Financial Planner