Max Wu

Employer firm

Capital Client Group, Inc. CRD 6247

Reported services (Item 5G)

• RECOMMENDING AFFILIATE AS INVESTMENT ADVISER OF SMA ASSETS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2017 → 11/2018
  Td Ameritrade
  Pasadena, CA
• 11/2018 → 02/2021
  Merrill Lynch Wealth
  Los Angeles, CA
• 02/2021 → 06/2021
  Unemployed
  Arcadia, CA
• 12/2015 → 02/2017
  Griffinest Asia Securities
  Pasadena, CA
• 06/2021 → 04/2023
  Capital Group - American Funds Distributors, Inc.
  Los Angeles, CA
• 04/2023 → 04/2024
  Capital Group - American Funds Distributors, Inc.
  Los Angeles, CA
• 04/2024 → 03/2026
  Capital Group - American Funds Distributors, Inc.
  Los Angeles, CA
• 03/2026 → Present
  Capital Group/Capital Client Group, Inc.
  Los Angeles, CA

Previous Registrations

• 2018-11-20 → 2021-02-09
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
• 2017-03-20 → 2018-11-27
  Td Ameritrade, Inc.
  Pasadena, CA
• 2017-03-20 → 2018-11-27
  Td Ameritrade Investment Management, Llc
  Pasadena, CA

Other Businesses

?Name of the other business: Destin Thomas & Max Wu General Partnership ?Is the business Investment Related: No ?The address of the other business: Arcadia, California 91006 ?The nature of the other business: Limited Partnership established to purchase rental properties. ?Your position/title: Co-Founder / Limited Partner ?Start date: 11/2020 ?The number of hours/month you devote to the other business: Less than 1 ?The number of hours during securities trading hours: None

Exams

• S66 Uniform Combined State Law Examination
  2015-10-28

Designations

• Chartered Financial Analyst