Uguumur Tsogtbaatar

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
IL	RA	APPROVED	2018-03-23
TX	RA	APPROVED	2018-03-23

IL RA
APPROVED

Since 2018-03-23
TX RA
APPROVED

Since 2018-03-23

Branch Locations

455 E Rand Rd, Arlington Heights, IL 60004 • 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	Arlington Heights	IL	12/2017	Present
E Express Inc	Elk Grove Village	IL	06/2016	10/2017
Bank Of America, N.A.	Arlington Heights	IL	07/2021	Present

12/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Arlington Heights, IL
06/2016 → 10/2017

E Express Inc

Elk Grove Village, IL
07/2021 → Present

Bank Of America, N.A.

Arlington Heights, IL

Other Businesses

I*2037264, Entity Type, Name of OBA: Rental Property 1, Address: Niles, IL, 60714, Investment Related: No, Position, Title, Association: Co-owner with other family members, Employee Start Date: 10/01/2024, No Hours: 5hrs/Mo, No Hours during trading: 0, Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-03-22

S66 Uniform Combined State Law Examination

2018-03-22

View on SEC IAPD