Noreen S Chiu

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

• 09/2008 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Francisco, CA
• 08/2017 → Present
  Bank Of America, N.A.
  San Francisco, CA

Previous Registrations

• 2007-02-01 → 2008-10-01
  J.P. Morgan Securities Llc
  San Francisco, CA
• 2001-06-13 → 2007-02-12
  Ubs Financial Services Inc.
  San Francisco, CA
  San Francisco, CA

Other Businesses

I*63470 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - 143 ABBOT INVESTMENT RELATED: N ADDRESS OF BUSINESS: DALY CITY, CALIFORNIA 94014 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/26/2013 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY I*54542 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - INVESTMENT RELATED: N ADDRESS OF BUSINESS: DALY CITY, CALIFORNIA 94015 NATURE OF BUSINESS: OTHER,OWNER POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/12/2012 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SINGLE FAMILY HOUSE USED AS RENTAL PROPERTY. I*78222 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: (RENTAL PROPERTY) INVESTMENT RELATED: N ADDRESS OF BUSINESS: DALY CITY, CALIFORNIA 94015 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/17/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS WAS MY PRIMARY RESIDENCE, BUT HAS BEEN CONVERTED TO A RENTAL PROPERTY I*81273 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - DALY CITY 94015 INVESTMENT RELATED: N ADDRESS OF BUSINESS: DALY CITY, CALIFORNIA 94401 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/7/2015 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY I*82931 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - INVESTMENT RELATED: Y ADDRESS OF BUSINESS: DALY CITY, CALIFORNIA 94015 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 7/10/2015 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PROPERTY OWNER / LANDLORD I*91569 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: DALY CITY, 94014 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/10/2016 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY I*105706 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - INVESTMENT RELATED: N ADDRESS OF BUSINESS: DALY CITY, CALIFORNIA 94014 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/1/2016 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY I*499505, Name of OBA: Rental Property Address: Daly City, CA, 94014 Investment Related: No Owner, Employee Start Date: 09/01/2016 No Hours: 0 No Hours during trading: 0 Duties: Manage Property

Exams

• S66 Uniform Combined State Law Examination
  2004-05-25
• S63 Uniform Securities Agent State Law Examination
  2000-05-31

Other Names

• Noreen Sau Lin Lyen
• Noreen S Lyen