Jimmy Quan

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

• 01/2012 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 02/2012 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2008-09-05 → 2012-01-12
  Wells Fargo Clearing Services, Llc
  New York, NY
  New York, NY

Other Businesses

I*: 3040267 Entity Type: For Profit Name of OBA: JR67 SPV 1 LLC Address: New York, NY 10128 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 10/20/2025 Number of Hours: 1 hr annually Number of Hours during trading: 0 Duties: passive investor I*: 3040264 Entity Type: For Profit Name of OBA: CHETCH Holdings LLC Address: New York, NY 10128 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 10/20/2025 Number of Hours: 10 hrs annually Number of Hours during trading: 0 Duties: Managed my assets

Exams

• S66 Uniform Combined State Law Examination
  2008-08-22