Arthur Chow

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

• 10/2016 → 09/2018
  The Vanguard Group, Inc.
  Scottsdale, AZ
• 10/2018 → 12/2019
  Morgan Stanley
  Gilbert, AZ
• 10/2018 → 12/2019
  Morgan Stanley Private Bank, N.A
  New York, NY
• 09/2021 → 08/2022
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 09/2021 → 08/2022
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 01/2020 → 09/2020
  Unemployed
  Chandler, AZ
• 10/2020 → 09/2021
  Northern Trust
  Chicago, IL
• 09/2022 → 05/2025
  J.P. Morgan Securities Llc
  Tempe, AZ
• 09/2016 → 09/2016
  Unemployed
  Tempe, AZ
• 05/2025 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Francisco, CA

Previous Registrations

• 2022-11-07 → 2025-05-02
  J.P. Morgan Securities Llc
  Westerville, OH
  Tempe, AZ
  Columbus, OH
  Tempe, AZ
  Chandler, AZ
• 2021-10-04 → 2022-08-30
  Cambridge Investment Research Advisors, Inc.
  Phoenix, AZ
• 2018-11-26 → 2020-01-03
  Morgan Stanley
  Gilbert, AZ

Exams

• S66 Uniform Combined State Law Examination
  2018-11-20
• S63 Uniform Securities Agent State Law Examination
  2016-11-30

Other Names

• Arthur Chow
• Arthur R Chow
• Arthur Raymond Chow