Carolyn B Ottenbreit

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

• 07/1986 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sparta, NJ
• 06/2011 → Present
  Bank Of America, N.A.
  Sparta, NJ

Other Businesses

I*: 3104297 Entity Type: Fiduciary role Name of OBA: POA for A. B. Address: Newton, NJ 07860 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 11/3/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Power of Attorney/Child/Grandchild

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-08-01
• S63 Uniform Securities Agent State Law Examination
  1995-04-06

Other Names

• Carolyn Ann Bain