Mark Pang-chung Wu

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
CT	RA	APPROVED	2016-06-14

NY RA
APPROVED

Since 2021-04-19
CT RA
APPROVED

Since 2016-06-14

Branch Locations

One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	02/2007	Present
Bank Of America Na	New York	NY	02/2007	Present

02/2007 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
02/2007 → Present

Bank Of America Na

New York, NY

Other Businesses

I*382174, Entity Type: Entity For Profit, Name of OBA: CFA Institute, Address: Charlottesville, VA, Virginia 22902-4868, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 06/29/2014, No Hours: 40, No Hours during trading: 0, Duties: Grading CFA Level 3 Exam

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-06-11
S63	Uniform Securities Agent State Law Examination	2004-01-28

S66 Uniform Combined State Law Examination

2016-06-11
S63 Uniform Securities Agent State Law Examination

2004-01-28