Harris Chan

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

• 08/2015 → 11/2019
  J.P Morgan Securities Llc.
  Brooklyn, NY
• 11/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 01/2020 → Present
  Bank Of America N.A.
  New York, NY

Previous Registrations

• 2015-09-28 → 2019-11-14
  J.P. Morgan Securities Llc
  Brooklyn, NY
  Brooklyn, NY

Other Businesses

I*1948273, Entity Type:Entity For Profit , Name of OBA: CX8 Enterprises LLC. Address: Edgewater, NJ 07020 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 10/01/2024 No Hours: 10 hrs monthly No Hours during trading: Duties: This is a private car club and storage facility managed by the other members of the entity. My primary role is managing member and partner, which will allow my input into the strategies and growth of the entity. I will not be granted access to funds and banking, and have no direct oversight over the finances of the entity. I will also not be making a capital contribution.

Exams

• S66 Uniform Combined State Law Examination
  2015-09-23
• S63 Uniform Securities Agent State Law Examination
  2014-12-06