Carolyn Marie George

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

• 08/1983 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 12/2009 → Present
  Bank Of America, Na
  Chicago, IL

Other Businesses

I*3745For profit or not for profit: For-Profit OrganizationName of outside business organization: George Alarm Co IncInvestment related: NoAddress of business: Springfield, Illinois 62703Nature of business: burglar and fire alarms Illinois and Missouri cent,Position, title, association: Director, Start date of relationship: 9/3/2001Number of hours devoted: 4 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: All six shareholders are directors. I*4754281 Entity Type: Fiduciary role Name of OBA: estate of J. S. Address: chicago, Illinois, 60614 Investment Related: No Position, Title, Association: Executor Employee Start Date: 06/25/2026 Number of Hours: 1, Weekly Number of Hours during trading: 0Duties: Executor/Niece I*4868269, Entity Type: , Name of OBA: C M G EXEC D E G EXEC EST OF J M S ESTATE , Address: Chicago, Illinois, 60614, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 08/01/2026, No Hours: 10 Weekly, No Hours during Trading: 0 Weekly, Duties: I*5151282, Entity Type: , Name of OBA: C M G TTEE M A K TTEE U/A DTD 09/27/1994 , Address: Chicago, Illinois, 60614, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 08/03/2026, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties:

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-08-29
• S63 Uniform Securities Agent State Law Examination
  1984-05-31

Other Names

• Carolyn M George