Dean Colwell Graham

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
MI	RA	APPROVED	2010-05-04
OH	RA	APPROVED	2007-09-26
TX	RA	APPROVED_RES	1989-09-20

MI RA
APPROVED

Since 2010-05-04
OH RA
APPROVED

Since 2007-09-26
TX RA
APPROVED_RES

Since 1989-09-20

Branch Locations

17000 Kercheval Ave, Grosse Pointe, MI 48230 • 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	Grosse Pointe Farms	MI	04/1986	Present
Bank Of America, Na	Grosse Pointe	MI	12/2009	Present

04/1986 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Grosse Pointe Farms, MI
12/2009 → Present

Bank Of America, Na

Grosse Pointe, MI

Other Businesses

1) I*26755 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: TRUST INVESTMENT RELATED: Y ADDRESS OF BUSINESS: GROSSE POINTE PARK, MICHIGAN 48230 NATURE OF BUSINESS: OTHER, TRUSTTEE OF MY DAD'S TRUST POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 0001-01-01 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: FIDUCIARY POSITIONS

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-10-23
S63	Uniform Securities Agent State Law Examination	1986-07-24

S66 Uniform Combined State Law Examination

2007-10-23
S63 Uniform Securities Agent State Law Examination

1986-07-24

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