Alvin Chung Hoong Mak

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

• 05/2016 → 03/2020
  Morgan Stanley
  New York, NY
• 03/2020 → 10/2025
  Ubs Financial Services Inc.
  New York, NY
• 01/2026 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Previous Registrations

• 2020-03-30 → 2025-11-24
  Ubs Financial Services Inc.
  New York, NY
  Weehawken, NJ
  Weehawken, NJ
  New Providence, NJ
• 2016-05-27 → 2020-03-19
  Morgan Stanley
  New York, NY
• 2006-09-13 → 2016-05-13
  Credit Suisse Securities (Usa) Llc
  New York, NY
  New York, NY
  New York, NY

Exams

• S66 Uniform Combined State Law Examination
  2006-09-11

Other Names

• Alvin Mak
• Alvin C Mak