Douglas N Howe

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

• 10/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Francisco, CA
• 06/2011 → Present
  Bank Of America,N.A.
  San Francisco, CA

Previous Registrations

• 2005-09-23 → 2009-10-23
  Banc Of America Investment Services, Inc.
  San Francisco, CA
  San Francisco, CA
  San Francisco, CA
  San Francisco, CA
  San Francisco, CA
• 1997-07-08 → 2005-10-20
  Ubs Financial Services Inc.
  San Francisco, CA

Other Businesses

1) I*14188 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HOWE FAMILY PARTNERSHIP INVESTMENT RELATED: N ADDRESS OF BUSINESS: SANTA BARBARA, CALIFORNIA 93108 NATURE OF BUSINESS: LIMITED PARTNERSHIP, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 1/1/1976 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: REAL ESTATE OWNERSHIP I*59045 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HOWE FAMILY CORPORATION INVESTMENT RELATED: Y ADDRESS OF BUSINESS: SANTA BARBARA, CALIFORNIA 93102 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/2/1987 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: REVIEW TENANT AND RENTS INFORMATION I*14188 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HOWE FAMILY PARTNERSHIP INVESTMENT RELATED: N ADDRESS OF BUSINESS: SANTA BARBARA, CALIFORNIA 93108 NATURE OF BUSINESS: LIMITED PARTNERSHIP, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 1/1/1976 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: REAL ESTATE OWNERSHIP I*134155 For profit or not for profit: For-Profit Organization Name of outside business organization: Howe Family Sevilla Investment related: N Address of business: Santa Barbara, California 93101 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 1/10/2019 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: 25 percent owner/member in LLC. Previous ownership was Trust (listed in OBA).

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-06-22
• S63 Uniform Securities Agent State Law Examination
  1983-07-21

Other Names

• Douglas Norman Howe
• Douglas Howe