Matthew Alan Swinney

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
FL	RA	APPROVED	2026-04-02
TX	RA	APPROVED_RES	2012-12-21
SC	RA	APPROVED	2004-04-28

FL RA
APPROVED

Since 2026-04-02
TX RA
APPROVED_RES

Since 2012-12-21
SC RA
APPROVED

Since 2004-04-28

Branch Locations

1301 Gervais St, Columbia, SC 29201 • United States

Leesville, SC • 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	Columbia	SC	07/1998	Present
Bank Of America, N.A.	Columbia	SC	12/2009	Present

07/1998 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Columbia, SC
12/2009 → Present

Bank Of America, N.A.

Columbia, SC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-12-23

S66 Uniform Combined State Law Examination

1998-12-23

Other Names

Mathew A Swinney

View on SEC IAPD

Employer firm

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

Other Names

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