Kevin
Chau

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#2414571
Investment Advisor
in New York, NY
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About this Advisor

Kevin Chau is a financial advisor based out of New York, New York, with 17 years of professional experience. Chau is on the advisory team at Merrill Lynch, Pierce, Fenner & Smith Inc. Throughout their career, Chau has worked at Citigroup Global Markets Inc, Morgan Stanley Smith Barney, Merrill Lynch, Pierce, Fenner & Smith Inc and Bank Of America, Na. Chau maintains Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is registered to advise clients in Connecticut and Texas. Merrill Lynch, Pierce, Fenner & Smith Inc is a business that has its headquarters in New York, New York. The investment advisory business has offices in 2,958 locations and a total of 40,146 advisors. It administers $820 billion in assets across its 2,272,151 client accounts, placing it among the largest investment advisory firms in the United States by assets under management. The firm provides financial advisory services to 4,667 charitable organizations. Of its 2,272,151 client accounts, just 3% are associated with high-net-worth clients who have greater than $1 million in investable assets. Merrill Lynch, Pierce, Fenner & Smith Inc provides a number of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. Financial management fee schedules usually vary depending on which services are offered. However, fee types charged by Merrill Lynch, Pierce, Fenner & Smith Inc most likely include some blend of asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

17 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Other

Fee Structure

Percentage of Assets, Fixed Fees, Commissions

Disclosures

Yes

Office Location

114 W 47Th St
New York, NY 10036

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$819,825,501,997

NY Average: $7,464,549,021
Total Number of Employees

40,146

NY Average: 88
Total Number of Accounts

2,272,151

NY Average: 3,892
Average Account Size

$360,815

NY Average: $1,917,921

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Other

Kevin Chau Work History

Kevin has 17 years of experience.

2010 - Present (9 years)

Bank Of America, Na

2009 - 2009 (0 years)

Morgan Stanley Smith Barney

2009 - Present (10 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2001 - 2009 (8 years)

Citigroup Global Markets Inc

Disclosures

Kevin Chau has disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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