Dyan Mary Goodwin

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

• 10/2004 → Present
  Bank Of America, N.A.
  Boston, MA
• 10/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boston, MA

Previous Registrations

• 2004-10-20 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Boston, MA
  Boston, MA
• 2004-01-07 → 2004-10-20
  Quick & Reilly, Inc.
  Boston , MA

Other Businesses

I*1400254 For profit or not for profit: For Profit Name of outside business organization: DMG Rollins Realty Trust Investment related: No Address of business: Boston, Massachusetts, 02118 Position, title, association: Owner Start date of relationship: 4/1/2023 Number of hours devoted: 2 hours Yearly Number of hours devoted during trading hours: 0 Duties: I own a condominium in Boston, MA that I put into a realty trust name for estate planning purposes. I also own 4 parking spaces at the same property location, also in the same trust name. I rent one of the parking spaces to a neighbor and have a 1 year lease with him.

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-12-11
• S63 Uniform Securities Agent State Law Examination
  1986-08-08