Amber Ghauri

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

• 11/2018 → 05/2022
  Wells Fargo Clearing Services
  Houston, TX
• 11/2018 → 05/2022
  Wells Fargo Bank
  Houston, TX
• 05/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
• 07/2014 → 10/2018
  J.P. Morgan Securities Llc
  Houston, TX

Previous Registrations

• 2019-03-01 → 2022-06-06
  Wells Fargo Clearing Services, Llc
  Minneapolis, MN
  Houston, TX
  Houston, TX
  Tarpon Springs, FL

Other Businesses

Entity Name: Kari & Sons ( DBA) Investment related: No Address: Houston, TX 77005 Nature of the other business: Selling unwanted household items as a hobby. Position/Title/Relationship: Sole Proprietor Start Date: 28 Jun 2016 Approximate # of hours a month: None Approximate # of hours during securities hours: 0 Briefly describe your duties: sell stuff as a hobby I*: 2216271 Entity Type: For Profit Name of OBA: AAR Operations, LLC Address: Houston, TX 77055 Investment Related: No Position, Title, Association: Owner Employee Start Date: 03/14/2025 Number of Hours: 10 hrs annually Number of Hours during trading: 0 Duties: To purchase personal real estate assets. Entity is formed to limit any liability

Exams

• S66 Uniform Combined State Law Examination
  2019-03-01
• S63 Uniform Securities Agent State Law Examination
  2014-11-07

Other Names

• Amber - Kari
• Amber - Kari
• Amber Ghauri
• Amber - Ghauri