U Fi Wen

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

• 06/1994 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 12/2009 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*6256For profit or not for profit: Name of outside business organization: U Fi WenInvestment related: Address of business:Sleepy Hollow, New York 10501Nature of business: ,Position, title, association: , Start date of relationship: 8/1/2017Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0Duties: I*2929314, Entity Type: , Name of OBA: Rental Property 1, Address: Tarrytown, New York, 10591, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 08/01/2025, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

• S66 Uniform Combined State Law Examination
  2016-06-29
• S63 Uniform Securities Agent State Law Examination
  1995-03-08

Other Names

• Peter Wen
• U F Wen