Kevin W Chau

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

• 11/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Staten Island, NY
• 01/2010 → Present
  Bank Of America, Na
  Staten Island, NY

Other Businesses

I*31503 Entity Type: For-Profit Organization Name of outside business organization: Snug Harbor Investment related: No Address of business: Staten Island, New York 10301 Position, title, association: Trustee, Start date of relationship: 1/1/2008 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Director/Board Member cultural I*3596269 Entity Type: Charitable Name of OBA: Springbrook Foundation Address: Oneonta, New York, 13820 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 02/01/2026 Number of Hours: 20, Yearly Number of Hours during trading: 0 Duties: School for Autistic Children and Adults Board Member

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-09-28
• S63 Uniform Securities Agent State Law Examination
  1994-02-10

Other Names

• Wai Keung Chau
• Kevin Chau
• Wai Keung Chau
• Waikeung Chau
• Kevin Chau
• Wai Keung Chau
• Wai Keung Chau