Sara Caitlyn Halliday

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

• 05/2016 → 11/2016
  Data Ventures
  Charlotte, NC
• 01/2015 → 12/2016
  Queens University Of Charlotte
  Charlotte, NC
• 11/2016 → 07/2017
  The Vanguard Group, Inc.
  Malvern, PA
• 07/2017 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 04/2019 → Present
  Bank Of America, N.A.
  Charlotte, NC

Other Businesses

I*5176269, Entity Type: , Name of OBA: F L G Irrevocable Trust FBO K D, Address: Charlotte, North Carolina, 28210, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 08/03/2026, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: I*5188272, Entity Type, Name of OBA: S C H TTEE U/W MR F L G Address: Charlotte North Carolina 28210 Investment Related: No Position, Title, Association: Trustee Employee Start Date:08/03/2026 No Hours: 2 monthly No Hours during trading: 0 Duties:

Exams

• S66 Uniform Combined State Law Examination
  2017-09-21
• S63 Uniform Securities Agent State Law Examination
  2016-12-30

Other Names

• Sara Caitlyn Deal
• Sara Deal
• Sara Caitlyn Deal
• Sara Caitlyn Deal