Patrick Roosevelt Newton

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
OH	RA	APPROVED	2026-01-22
TX	RA	APPROVED_RES	2007-07-31
CA	RA	APPROVED	1999-09-13

OH RA
APPROVED

Since 2026-01-22
TX RA
APPROVED_RES

Since 2007-07-31
CA RA
APPROVED

Since 1999-09-13

Branch Locations

100 Spectrum Center Dr, Irvine, CA 92618 • 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Laguna Hills	CA	05/1998	Present
Bank Of America, Na	Laguna Hills	CA	09/2009	Present

05/1998 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Laguna Hills, CA
09/2009 → Present

Bank Of America, Na

Laguna Hills, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-07-29
S63	Uniform Securities Agent State Law Examination	1999-07-12

S65 Uniform Investment Adviser Law Examination

1999-07-29
S63 Uniform Securities Agent State Law Examination

1999-07-12

Other Names

Patrick R Newton

View on SEC IAPD