Peter Au

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

• 07/1998 → 12/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 12/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 02/2020 → Present
  Bank Of America, N.A.
  Chicago, IL

Other Businesses

I*496243, Entity Type: Entity For Profit, Name of OBA: Rental Property - Personal, Address: Chicago, Illinois 60608, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 07/16/2014, No Hours: 2, No Hours during trading: 0, Duties: Owner of Rental Property

Exams

• S66 Uniform Combined State Law Examination
  1998-10-22

Other Names

• Chi H Au
• Chi Hao Au
• Peter Chi Au