David Heaton Email and Phone Number

I currently serve as Deputy General Counsel responsible for managing the legal teams that support Merrill Lynch Wealth Management, Merrill Edge, Merrill Investment Solutions Group, Merrill Chief Investment Office and Retirement and Personal Wealth Solutions.In this role, I advise BAC Management Team Members, Senior Risk and Compliance executives on legal, regulatory and reputational risk matters impacting Merrill. Previously I was an Associate General Counsel and Managing Director supporting Merrill Lynch Wealth Management and Merrill Edge. In this role I led the legal team that advises both traditional registered representative based brokerage and investment advisory products as well as online self directed brokerage and robo advisory products. Before supporting Merrill’s brokerage unit I managed a large team that supported the Consumer Bank sales channels, including brick and mortar banks, call centers, digital, small business banking and self directed brokerage. I began my career with the Bank as an Assistant General Counsel and Director supporting the Global Wealth Investment Management Group at Bank of America Merrill Lynch. I supported various lines of business in Merrill Lynch's Managed Solutions Group. Prior to joining the Bank I was a counsel in WIlmerHale's Securities Department, and a member of the Investment Management Practice Group. At WIlmer I advised a range of financial service industry clients, including investment advisers, hedge funds, mutual funds and broker-dealers.Prior to joining WilmerHale, I was an associate in the Investment Management Practice Group of Sullivan & Worcester. Specialties: Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA Rules, CFTC and NFA Rules and Regulations