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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-09-11
  • CA RA
    APPROVED
    Since 2023-09-11

Branch Locations

3075 Hansen Way, Palo Alto, CA 94304 • United States

800 E Colorado Blvd, Pasadena, CA 91101 • 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
Bancwest Investment Services, Inc Union City CA 01/2014 10/2018
U.S. Bancorp Investments, Inc. Los Gatos CA 10/2018 11/2018
Fidelity Brokerage Services Llc Los Gatos CA 11/2018 12/2022
Pruco Securities, Llc San Jose CA 12/2022 08/2023
The Prudential Insurance Company Of America San Jose CA 12/2022 08/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Palo Alto CA 08/2023 Present
Previous Registrations
  • 2022-12-09 → 2023-08-24
    San Jose, CA
  • 2018-12-24 → 2023-01-03
    Fidelity Personal And Workplace Advisors
    Los Gatos, CA
  • 2018-10-11 → 2018-12-11
    Los Gatos, CA
    Santa Cruz, CA
    Los Gatos, CA
    Los Altos, CA
    Los Altos, CA
  • 2014-01-13 → 2018-10-19
    Bancwest Investment Services, Inc.
    Livermore, CA
    Pleasanton, CA
    Dublin, CA
    Union City, CA
    Fremont, CA
    Newark, CA
    Milpitas, CA
    San Ramon, CA
    Danville, CA
    San Ramon, CA
    Danville, CA
    Hayward, CA
    Fremont, CA
    Dublin, CA
    San Ramon, CA
    Milpitas, CA
    Cupertino, CA
    Palo Alto, CA
    Los Altos, CA
  • 2011-01-03 → 2014-01-14
    Union City, CA
    Fremont, CA
    Palo Alto, CA
    San Mateo, CA
    San Jose, CA
    San Jose, CA
  • 2008-06-20 → 2011-01-03
    Wells Fargo Investments, Llc
    Fremont, CA
    Union City, CA
  • 2007-10-16 → 2008-06-18
    Wamu Investments, Inc.
    Fremont, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-09
  • S66 Uniform Combined State Law Examination
    2007-10-09
Other Names
  • David Chau-Wei Cheng
  • David Chao-Wei Cheng
  • David Cheng

View on SEC IAPD

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