Shushu Cai

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

• 07/2021 → Present
  Bofa Securities, Inc.
  New York, NY
• 08/2020 → 07/2021
  Usc Marshall
  Los Angeles, CA
• 06/2020 → 07/2020
  Bofa Securities, Inc.
  Brentwood, TN
• 06/2019 → 06/2020
  Usc Marshall
  Los Angeles, CA
• 07/2017 → 06/2019
  Mufg Union Bank
  Los Angeles, CA
• 03/2015 → 06/2017
  Citigroup
  New York, NY

Other Businesses

I*1835311, Entity Type Entity For Profit, Name of OBA: Fortune 888 LLC Address: Nashville, Tennessee, 37211 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 06/01/2024 No Hours: 2 monthly No Hours during trading: 0 Duties: Real Estate Rentals

Exams

• S66 Uniform Combined State Law Examination
  2025-12-12
• S63 Uniform Securities Agent State Law Examination
  2021-08-31