David Francis Lusteg

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

• 09/1987 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Springfield, MA
• 11/2009 → Present
  Bank Of America, N.A.
  Springfield, MA

Other Businesses

I*468590 For profit or not for profit: Entity SRO Name of outside business organization: Financial Industry Regulatory Authority Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Business or Industry Organization"] Position, title, association: ["Employee"], Start date of relationship: 3/14/2016 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: , Finra after completition of training to serve as an arbi

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-05-04
• S63 Uniform Securities Agent State Law Examination
  1987-12-08

Other Names

• David Lusteg