MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

One Bryant Park
New York, New York 10036
Tel: 800-637-7455

About MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, formally registered with the SEC as MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. The firm was established in 12/08/1978. They have over 3543 offices throughout the country.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED is a New York, New York based Financial Planning firm with nearly $1,271,593,679,276 assets under management, offering retirement planning & investment advisory services to 2911578 clients. The firm is staffed with 34934 experienced financial planners.

Firm Information

SEC Current Status	Approved
Firm CRD#	7691
SEC#	801-14235
Assets Managed by Firm	$1,271,593,679,276
No. of Clients	2911578
No. of Advisors	34934

Fee Structure

A percentage of AUM
Fixed fees
Commission Based

Advisory Services Provided

Portfolio management for individuals and/or small businesses
Portfolio management for businesses or institutional clients
Pesnsion consulting services
Selection for other advisors
Education seminars/workshops
Other (PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D)

Firm Client Information

	No. of Clients	AUM
Firm Total	2911578	$1,271,593,679,276
Individuals (other than high net worth individuals)	1180107	$274,119,503,761
High net worth individuals	411703	$821,123,983,142
Pension and profit sharing plans	17234	$46,577,366,513
Charitable organizations	4472	$20,785,033,912
Corporations or other businesses	20404	$105,315,924,168

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