Richard Kenneth Tseng

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED_RES	2014-09-26
NJ	RA	APPROVED	2010-07-30

NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED_RES

Since 2014-09-26
NJ RA
APPROVED

Since 2010-07-30

Branch Locations

One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	07/2010	Present
Bank Of America, N.A.	New York	NY	07/2010	Present

07/2010 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
07/2010 → Present

Bank Of America, N.A.

New York, NY

Other Businesses

I*121606 For profit or not for profit: For-Profit Organization Name of outside business organization: TrackInsight SAS Investment related: Y Address of business: Biot, 06410 Nature of business: Other,Société par Actions Simplifiée or a LLC by shares Position, title, association: Advisory Board Member, Start date of relationship: 10/29/2018 Number of hours devoted: 16 hour(s) Annually Number of hours devoted during trading hours: 16 Duties: Invited to join at year end. I have not participated in any meetings. It is an exchange platform to share views about ETFs for the benefit of investors. The information discussed in the advisory board will be used to improve practice in the industry.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-07-29

S66 Uniform Combined State Law Examination

2010-07-29

Other Names

Richard K Tseng
Richard K Tseng

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