David P Filosa

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

• 03/2014 → Present
  Merrill Lynch, Pierce, Fenner And Smith Incorporated
  New York, NY
• 06/2014 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*384355Entity Type: Entity Charitable Name of OBA: Columbia University Club Foundation, Inc. Address: Riverside, CT 06878 Investment Related: No Position, Title, Association: Officer Employee Start Date: 12/05/2024No Hours: 12hrs per year No Hours during trading: 2 Duties: The primary purpose of the Foundation is to support undergraduate educational initiatives at Columbia University. Member of the board of trustees. Oversee the functions of the foundation and see that it meets it's primary purpose. I have been asked by the outgoing president (81yrs old) to take over the role which mostly involves scheduling meetings and taking votes of the 10 member board. The President doesn't handle money- there is a Treasurer who performs that function. Please let me know if I can proceed and accept the position. Thank you I*71102 For profit or not for profit: Non-Profit Organization Name of outside business organization: Society of Columbia Graduates, Inc. Investment related: No Address of business: c/o Columbia University New York, New York 10115Nature of business: Charitable Organization Position, title, association: Director, Start date of relationship: 6/1/2011Number of hours devoted: 2 hours Qtrly Number of hours devoted during trading hours: 0 Duties: We honor great teachers of undergraduate students at the university with an annual award and luncheon at Deans Day/Reunion Weekend. I am a member of the board of directors and a co-chair of the events committee that plans the luncheon. I*: 2942295Entity Type: For Profit Name of OBA: Broadway 111 Owners Corp Address: New York, NY 10025 Investment Related: No Position, Title, Association: Officer, Director Employee Start Date: 10/31/2025 Number of Hours: 12 hrs annually Number of Hours during trading: 1 hr annually Duties: Be on the board of directors and be an officer of the residential co-op. I will be one of seven directors. It is our duty to act in the best interests of the residents and ensure financial stability of the coop. We ensure that the co-op complies with the bylaws governing documents and applicable laws. The board reviews and approves the annual budget and makes sure it covers operating expenses etc.

Exams

• S66 Uniform Combined State Law Examination
  2014-05-02
• S63 Uniform Securities Agent State Law Examination
  2009-11-24

Other Names

• David Paul Filosa
• David Paul Filosa