Philip Stafford Moran

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

• 05/1992 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 05/2013 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*66222 Entity Type: Non-Profit Name of outside business organization: Fathers Forum Investment related: No Address: Greenwich, Connecticut 6830 Position, title, association: Advisory Board Member, Start date of relationship: 8/26/2013 Hours devoted: 5 hours Mthly Hours devoted during trading hours: 0 Duties: Fathers Forum, a Greenwich, CT based charitable organization with the goal of providing fathers information and skills to strengthen relationships with their children for the purpose of protecting the children from high risk behavior I*2631277, Entity Type: Fiduciary role Name of OBA: J W, Address: Omaha, Nebraska, 68130, Investment Related: No, Position, Title, Association: Successor Trustee, Employee State Date: 07/17/2025, No Hours: 1 Yearly, No Hours during Trading: 0 Duties: Successor Tristee/In-Laws I*3070303, Entity Type: Fiduciary role Name of OBA: P S M JR TTEE U/A DTD 08/12/05 BY J A W, Address: Omaha, Nebraska, 68130, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 07/23/2025, No Hours: 4 Yearly, No Hours during Trading: 1 Yearly, Duties: Trustee/In-Laws I*3320268, Entity Type: Fiduciary role Name of OBA: P S M JR TTEE U/A DTD 08/12/2005 BY J A W, Address: Omaha, Nebraska, 68130, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 12/17/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: Trustee/In-Laws I*3453285Entity Type: Fiduciary roleName of OBA: P. S M. JR TTEE U/A DTD 08/12/2005 BY J. A W. Address: Omaha, Nebraska, 68130 Investment Related: NoPosition, Title, Association: Trustee Employee Start Date: 12/19/2025 Number of Hours: 1, MonthlyNumber of Hours during trading: 1, Monthly Duties: Trustee In-Laws

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-04-16
• S63 Uniform Securities Agent State Law Examination
  1984-05-25

Other Names

• Philip Stafford Moran