John Q Smith

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

• 10/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 12/2009 → Present
  Bank Of America, Na
  Chicago, IL

Previous Registrations

• 2002-07-30 → 2009-10-21
  Ubs Financial Services Inc.
  Chicago, IL
  Chicago, IL
  Chicago, IL

Other Businesses

I*850251 For profit or not for profit: Name of outside business organization: Harris Theater for Music and Dance Investment related: N Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Current Member of the Board of Trustees (compliance approved). Also member of the Finance Committee (also compliance approved and Internal Compliance letter dated 8/13/2021 is attached in the system). Will be Vice Chair of the Finance Committee pending BofA compliance approval.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-12-23
• S63 Uniform Securities Agent State Law Examination
  1988-11-23