Samuel Wajner

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-09-05
TX	RA	APPROVED_RES	2008-11-17
NJ	RA	APPROVED	2008-11-14

FL RA
APPROVED

Since 2025-09-05
TX RA
APPROVED_RES

Since 2008-11-17
NJ RA
APPROVED

Since 2008-11-14

Branch Locations

Clearwater, FL • United States

100 Campus Dr, Florham Park, NJ 07932 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	11/2008	Present
Bank Of America, N.A.	Short Hills	NJ	06/2011	Present

11/2008 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
06/2011 → Present

Bank Of America, N.A.

Short Hills, NJ

Previous Registrations

2002-05-10 → 2008-11-21

Rbc Capital Markets, Llc

Florham Park, NJ

Florham Park, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-10-08
S63	Uniform Securities Agent State Law Examination	1984-04-03

S65 Uniform Investment Adviser Law Examination

1998-10-08
S63 Uniform Securities Agent State Law Examination

1984-04-03

View on SEC IAPD