Plato Wang

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

• 11/2014 → 08/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Palo Alto, CA
• 12/2014 → 08/2020
  Bank Of America, N.A.
  Palo Alto, CA
• 08/2020 → 08/2025
  Fidelity Brokerage Services Llc
  Sunnyvale, CA
• 03/2025 → 08/2025
  Fidelity Investments
  Boston, MA
• 08/2025 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Mateo, CA
• 11/2025 → Present
  Bank Of America, N.A.
  San Mateo, CA

Previous Registrations

• 2025-03-31 → 2025-08-14
  Strategic Advisers Llc
  Sunnyvale, CA
  Palo Alto, CA
  Boston, MA
• 2020-09-23 → 2025-03-31
  Fidelity Personal And Workplace Advisors
  Sunnyvale, CA
• 2015-02-10 → 2020-08-31
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Menlo Park, CA
  Palo Alto, CA
  Palo Alto, CA
  Sacramento, CA
  Mountain View, CA
  Menlo Park, CA
  Palo Alto, CA
  Los Altos, CA

Other Businesses

Name of the other businessP&C Shop Whether the business is investment-relatedNo Address of the other business Palo Alto, CA Nature of the other businessSell used books online via Amazon. These are all books that we have acquired for personal use. Originally, these were my own books that I sold after getting married and needing to make room for baby stuff. Now, for example, my daughters have books from school they have outgrown which we want to sell. Your positionNo formal entity. Title, or relationship with the other businessNA Start date of your relationship12/2011 Approximate number of hours/month you devote to the other business30 to 60 minutes, but it's very sporadic. Definitely not every month. Number of hours you devote to the other business during securities trading hoursActivities happen outside of trading hours. Briefly describe your duties relating to the other businessPost the items to Amazon. Coach the kids on shipping their books when sold. Name of the other businessS. J. W. Whether the business is investment-relatedYes. Address of the other businessCupertino, CA Nature of the other businessI help my mom with her brokerage accounts. Not compensated. Your positionAttorney-in-fact Title, or relationship with the other businessNA Start date of your relationship2/9/2023 Approximate number of hours/month you devote to the other business1 hour Number of hours you devote to the other business during securities trading hoursActivities happen outside of trading hours. Briefly describe your duties relating to the other businessCheck in with mom around her cash flow needs. Join her for annual review. Join her for ad hoc reviews if needed. We haven't had any yet.

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-02-09
• S63 Uniform Securities Agent State Law Examination
  2013-11-07