S. Chris Gale

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

• 04/1983 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Scottsdale, AZ
• 01/2010 → Present
  Bank Of America, Na
  Scottsdale, AZ

Other Businesses

I*77395FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: FRESH START WOMEN'S FOUNDATIONINVESTMENT RELATED: NADDRESS OF BUSINESS: PHOENIX, ARIZONA 85006NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 12/01/1999NUMBER OF HOURS DEVOTED: 12 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: ASSIST IN ORGANIZING GOLF TOURNAMENT WHICH IS FUNDRAISING EVENTI*122934For profit or not for profit: For-Profit OrganizationName of outside business organization: Adobeview42, LLCInvestment related: NAddress of business: Fountain Hills, Arizona 85268Nature of business: LLC,Position, title, association: Family Held, Start date of relationship: 5/6/2019Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: LLC owns condominium, is not a rental propertyI*122933For profit or not for profit: For-Profit OrganizationName of outside business organization: Four Peaks, LLCInvestment related: NAddress of business:Fountain Hills, Arizona 85268Nature of business: LLC,Position, title, association: Family Held, Start date of relationship: 5/6/2019Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: This LLC is to hold my primary residenceI* 1800269For profit or not for profit: Entity For ProfitName of outside business organization: Gale Business GroupInvestment related: noAddress of business: Fountain Hills, AZ, 85268Nature of business: Limited Liability CompanyPosition, title, association: General Partner/Managing MemberStart date of relationship: 01/06/2021Number of hours devoted: 5 yearlyNumber of hours devoted during trading hours: 0Duties: Thank you for your assistance in completing this submission. Scott, please revise the following:1) all of the first 4 questions should be revised to YES since you would have ownership, access to funds, hold a role of authority of the entity, and would have an expectation of compensation should the property in the LLC ever sell. 2) question "Is the entity for profit" should be YES ad an LLC is a for-profit entity.3) question "what is the structure of the entity" should be Limited Liability CompanyYou should be able to respond to all subsequent questions after responding to these questions. This entity holds a residential lot adjacent to our primary residence, which was purchased for privacy. There is no other business activity for this entity I*1846275 Entity For Profit Name of OBA: Palomino Business Group, LLC Address: Fountain Hills, Arizona, 85268 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 07/01/2024 No Hours: 10 No Hours during trading: 0 Duties: Purpose is to generate rental income from apartments; the project is to be fully managed, so minimal duties performed

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-10-15
• S63 Uniform Securities Agent State Law Examination
  1983-06-30

Other Names

• Scott Christopher Gale
• Scott Chris Gale
• S C Gale