Elizabeth Ann Sum-slaughter

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
NC	RA	APPROVED	2023-12-15
SC	RA	APPROVED	2023-12-12
GA	RA	APPROVED	2016-01-25
TX	RA	APPROVED_RES	2012-12-06
AL	RA	APPROVED	2012-04-04
OH	RA	APPROVED	2010-01-11
NJ	RA	APPROVED	2002-11-13

NC RA
APPROVED

Since 2023-12-15
SC RA
APPROVED

Since 2023-12-12
GA RA
APPROVED

Since 2016-01-25
TX RA
APPROVED_RES

Since 2012-12-06
AL RA
APPROVED

Since 2012-04-04
OH RA
APPROVED

Since 2010-01-11
NJ RA
APPROVED

Since 2002-11-13

Branch Locations

Franklinton, NC • United States

3455 Peachtree Rd Ne Division - Southeast, Atlanta, GA 30326 • United States

2024 Corporate Centre Dr, Myrtle Beach, SC 29577 • United States

4242 Six Forks Rd, Raleigh, NC 27609 • 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	Pennington	NJ	06/1998	Present

06/1998 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-03-14
S63	Uniform Securities Agent State Law Examination	1985-06-28

S65 Uniform Investment Adviser Law Examination

2001-03-14
S63 Uniform Securities Agent State Law Examination

1985-06-28

Other Names

Beth Sumslaughter
Elizabeth Ann Sum
Elizabeth Ann Sumbrown
Elizabeth Ann Brown
Beth Sum
Elizabeth Ann Sumslaughter
Beth Sum-Slaugh
Beth Sum-Slaughter

View on SEC IAPD