Richard Xiaolin Zhu

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

• 08/2009 → 10/2018
  Wells Fargo Securities, Llc
  San Francisco, CA
• 11/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Francisco, CA

Other Businesses

I*136251 For profit or not for profit: Non-Profit Organization Name of outside business organization: Crowden Music Center Investment related: Y Address of business: Berkeley, California 94702 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 2/19/2021 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Member of investment committee I*119491 For profit or not for profit: Non-Profit Organization Name of outside business organization: East Bay Center for the Performing Arts Investment related: N Address of business: Richmond, California 94801 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 4/1/2016 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: EBCPA is a performing arts school serving youth and young adults in a historically underserved community. I have been a Board member since 2016 and was formerly a student. Responsibilities include contributing to budgeting, fundraising, and strategy.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-04-20
• S63 Uniform Securities Agent State Law Examination
  2010-05-17

Other Names

• Richard X Zhu
• Richard Xiaolin Zhu
• Richard Zhu