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King Kwok Wong

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-10-06
CA RA APPROVED 2012-02-23
  • TX RA
    APPROVED_RES
    Since 2017-10-06
  • CA RA
    APPROVED
    Since 2012-02-23

Branch Locations

560 S Winchester Blvd, San Jose, CA 95128 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cal State-Hayward Hayward CA 05/2006 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Castro Valley CA 01/2012 Present
Bank Of America, N.A. San Jose CA 02/2012 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-02-22
S65 Uniform Investment Adviser Law Examination 1997-09-26
S63 Uniform Securities Agent State Law Examination 1990-01-12
  • S66 Uniform Combined State Law Examination
    2012-02-22
  • S65 Uniform Investment Adviser Law Examination
    1997-09-26
  • S63 Uniform Securities Agent State Law Examination
    1990-01-12

View on SEC IAPD

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