Casely George Doryumu

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
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED_RES	2020-01-30
CT	RA	APPROVED	2018-09-13

NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED_RES

Since 2020-01-30
CT RA
APPROVED

Since 2018-09-13

Branch Locations

One Bryant Park, New York, NY 10036 • United States

25 Burlington Mall Rd Workplace Benefits, Burlington, MA 01803 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Voya Financial Advisors, Inc.	New York	NY	08/2015	03/2017
Adp Broker Dealer Inc	Bayside	NY	11/2017	03/2018
Adp Llc	Bayside	NY	11/2017	03/2018
Unemployed	New York	NY	03/2017	10/2017
Bank Of America, N.A.	New York	NY	03/2018	Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	03/2018	Present

08/2015 → 03/2017

Voya Financial Advisors, Inc.

New York, NY
11/2017 → 03/2018

Adp Broker Dealer Inc

Bayside, NY
11/2017 → 03/2018

Adp Llc

Bayside, NY
03/2017 → 10/2017

Unemployed

New York, NY
03/2018 → Present

Bank Of America, N.A.

New York, NY
03/2018 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Other Businesses

I*115049 For profit or not for profit: For-Profit Organization Name of outside business organization: User Interviews Investment related: N Address of business: New York, New York 10036 Nature of business: Partnership, Position, title, association: Participant, Start date of relationship: 6/7/2018 Number of hours devoted: 2 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Expert network requiring surveys on software and technology expertise. Will be compensated hourly for 2hrs of service.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-09-12
S63	Uniform Securities Agent State Law Examination	2016-01-22

S65 Uniform Investment Adviser Law Examination

2018-09-12
S63 Uniform Securities Agent State Law Examination

2016-01-22

Other Names

Casely Doryumu
Casely Doryumu
Casely George Doryumu

View on SEC IAPD