Beth Ann Graf

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
VT	RA	APPROVED	2021-07-20
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED	2012-11-27
CT	RA	APPROVED	2012-03-09

VT RA
APPROVED

Since 2021-07-20
NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED

Since 2012-11-27
CT RA
APPROVED

Since 2012-03-09

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • United States

Newfane, VT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Melville	NY	06/1981	Present

06/1981 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Melville, NY

Other Businesses

I*2115279, Entity Type Charitable, Name of OBA: Lake Ronkonkoma United Methodist Church Address: Lake Grove, New York, 11755 Investment Related: N Position, Title, Association: Board Member Employee Start Date: 01/01/2025 No Hours: 3 No Hours during trading: 0 Duties: Member of the Trustees Board

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-03-07
S63	Uniform Securities Agent State Law Examination	1986-06-03

S66 Uniform Combined State Law Examination

2012-03-07
S63 Uniform Securities Agent State Law Examination

1986-06-03

Other Names

Beth Ann Keene
Beth Ann (Keene) Graf
Beth Ann Ann (Keene) Graf
Beth Ann Graf

View on SEC IAPD