David Robert Neumann

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

• 06/2006 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 08/2009 → Present
  Bank Of America, N.A.
  Chicago, IL

Previous Registrations

• 2004-01-16 → 2006-05-25
  Citicorp Investment Services
  Chicago, IL

Other Businesses

1.FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION2.NAME OF OUTSIDE BUSINESS ORGANIZATION: DEERFIELD PUBLIC SCHOOLS3.INVESTMENT RELATED: N4.ADDRESS OF BUSINESS: 517 DEERFIELD RD, DEERFIELD, ILLINOIS 600155.NATURE OF BUSINESS: CHARITABLE ORGANIZATION,7.POSITION, TITLE, ASSOCIATION: OTHER, VOLUNTEER REFEREE FOR SOCCER GAMES8.START DATE OF RELATIONSHIP: 3/30/20139.NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY10.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 011.DUTIES: THIS IS THE DEERFIELD PUBLIC SCHOOL SYSTEM. MY ROLE WILL BE AS A VOLUNTEER REFEREE FOR SOCCER GAMES WITH THE MIDDLE SCHOOLS (PAID)..I*386437, Entity Type: Entity For Profit, Name of OBA: Young Sportsmens Soccer LEague, Address: Arlington Heights, Illinois 60005, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 04/06/2018, No Hours: 3, No Hours during trading: 0, Duties: Soccer refereeI*2667305, Entity Type: , Name of OBA: Estate of H A N, Address: Deerfield, Illinois, 60015, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 05/19/2025, No Hours: 75 Yearly, No Hours during Trading: 0 Yearly, Duties: I*: 2667307 Entity Type: Name of OBA: K N Supplemental Needs Trust Address: Deerfield, Illinois, 60015 Investment Related: NO Position, Title, Association: Trustee Employee Start Date: 03/06/2025 No Hours: 2 MONTHLY No Hours during trading: 0 Duties:

Exams

• S66 Uniform Combined State Law Examination
  2003-12-16