Neil M Ratwani

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

• 03/2011 → Present
  Merrill Lynch
  Newport Beach, CA

Previous Registrations

• 2010-01-07 → 2011-02-10
  Morgan Stanley
  Irvine, CA

Other Businesses

I*10499For profit or not for profit: Name of outside business organization: Rental PropertyInvestment related: Address of business:Arlington, Virginia 22201Nature of business: ,Position, title, association: , Start date of relationship: 1/29/2021Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0Duties: I*1834277, Entity Type: Entity For Profit, Name of OBA: Tivola SY LLC, Address: Irvine, CA, 92614, Investment Related: No, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 05/18/2024, No Hours: 2hrs/Mo., No Hours during trading: 0, Duties: LLC created to own a rental property purchased by my family. Responsibilities include managing the rental property. I*4521299, Entity Type: Entity For Profit, Name of OBA: N M R, Address: Irvine, California, 92614, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 06/01/2026, No Hours: 4 Weekly, No Hours during Trading: 0 Weekly, Duties: Design and post tshirts for sale. Selling tshirts on Etsy

Exams

• S66 Uniform Combined State Law Examination
  2009-12-28
• S63 Uniform Securities Agent State Law Examination
  2001-09-14

Other Names

• Neil Mohan Ratwani