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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 2022-08-11
CA RA APPROVED 2022-08-08
  • TX RA
    APPROVED_RES
    Since 2022-08-11
  • CA RA
    APPROVED
    Since 2022-08-08

Branch Locations

555 California St, San Francisco, CA 94104 • United States

2049 Century Park E Division - Pacific Coast, Los Angeles, CA 90067 • United States

555 California St, San Francisco, CA 94104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Menlo Park CA 08/2014 05/2018
Unemployed Fremont CA 06/2018 09/2018
Ubs Financial Services Inc San Francisco CA 10/2018 06/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 06/2022 Present
Previous Registrations
Other Businesses

I*906231, Entity Type: Entity For Profit, Name of OBA: Rental Property 1, Address: Hayward, California 94544, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 02/01/2011, No Hours: 4, No Hours during trading: 0, Duties: Owner of Rental Property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-06-27
S63 Uniform Securities Agent State Law Examination 2001-04-10
  • S66 Uniform Combined State Law Examination
    2011-06-27
  • S63 Uniform Securities Agent State Law Examination
    2001-04-10
Other Names
  • Rochelle Y Tang
  • Yong H Tang

View on SEC IAPD

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