Bert Matthew Halliday

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

• 11/1984 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 05/2011 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*31076 ENTITY TYPE: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ATOCHA/MARGARITA EXPEDITION- LLC INVESTMENT RELATED: NO ADDRESS OF BUSINESS: KEY WEST, FLORIDA 33040 POSITION, TITLE, ASSOCIATION: LIMITED PARTNER START DATE OF RELATIONSHIP: 9/28/2005 NUMBER OF HOURS DEVOTED: 10 HOURS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: INVESTOR NONE I*103163 ENTITY TYPE: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GRAND TIMBER LODGE INVESTMENT RELATED: NO ADDRESS OF BUSINESS:BRECKENRIDGE, COLORADO 80424 POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/8/2017 NUMBER OF HOURS DEVOTED: 1 HOUR ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TIMESHARE RENTAL I*77670 For profit or not for profit: For-Profit Organization Name of outside business organization: Halliday & Co., Inc. Investment related: No Address of business: Brooklyn, New York 11209 Position, title, association: Owner Start date of relationship: 12/23/1994 Number of hours devoted: 10 hours Annually Number of hours devoted during trading hours: 0 Duties: family use archiving I*: 470037 For profit or not for profit: Entity SRO Name of outside business organization: NYSE Acceptability Board, NYSE Hearing Board Investment related: Yes Address of business: New York, New York, 10005 Nature of business: Business or Industry Organization Position, title, association: Hearing officer Start date of relationship: 9/17/2019 Number of hours devoted: 8 hours Yearly Number of hours devoted during trading hours: 8 Duties: New York Stock Exchange Hearing officer I*: 1991295 Entity Type: Entity Governmental Name of OBA: NYC Borough of Manhattan High School Division Address: Brooklyn, NY Investment Related: No Position, Title, Association: Other Employee Start Date: 09/16/2024 Number of Hours: 18 hrs mthly Number of Hours during trading: 6 hrs mthly Duties: Substitute teacher of math and English NYC Borough of Manhattan High School Division. I*: 467861 Entity Type: Entity SRO Name of OBA: FINRA Address: Washington D.C. 20006 Investment Related: Yes Position, Title, Association: Consultant/Independent Contractor Employee Start Date: 5/5/2014 Number of Hours: 1 hr annually Number of Hours during trading: 1 hr annually Duties: The Acceptability Board ensures that individuals and organizations associated with the NYSE are of good standing and meet the required standards.

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-02-26
• S63 Uniform Securities Agent State Law Examination
  1985-03-13