Michelle H Chen

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2013-03-22
CA	RA	APPROVED	2012-06-29

TX RA
APPROVED

Since 2013-03-22
CA RA
APPROVED

Since 2012-06-29

Branch Locations

San Rafael, CA • United States

800 E Colorado Blvd, Pasadena, CA 91101 • United States

555 California St, San Francisco, CA 94104 • 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	Mill Valley	CA	04/2000	Present

04/2000 → Present

Merrill Lynch

Mill Valley, CA

Other Businesses

I*: 2929310 Entity Type: Fiduciary role Name of OBA: S. F C. Address: San Rafael, CA 94903 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 10/01/2025 Number of Hours: 1 hr annually Number of Hours during trading: 0 Duties: Power of Attorney / Child/Grandchild, Parents I*: 2930295 Entity Type: Fiduciary role Name of OBA: Y. M C. Address: San Rafael, CA 94903 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 10/01/2025 Number of Hours: 1 hr annually Number of Hours during trading: 0 Duties: Power of Attorney / Child/Grandchild, Parents

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-06-28

S66 Uniform Combined State Law Examination

2012-06-28

View on SEC IAPD