Lifan Shen

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

• 05/2013 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 08/2013 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2009-06-10 → 2013-06-06
  J.P. Morgan Securities Llc
  New York, NY

Other Businesses

I*115892 For profit or not for profit: Non-Profit Organization Name of outside business organization: Brooklyn Independent Investment related: N Address of business: Brooklyn, New York 11215 Nature of business: Charitable Organization, Position, title, association: Other, Board member Start date of relationship: 8/1/2018 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I will be joining the board of directors of a new non-profit, private middle school (grades 6-8) called Brooklyn Independent. The school is new and so my primary role will be overall strategic advice to help the school grow and attract students.

Exams

• S66 Uniform Combined State Law Examination
  2009-06-01
• S63 Uniform Securities Agent State Law Examination
  2000-09-13