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Jonathan D. Chow

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lake Forest, CA

Newport Beach, 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 2016-07-28
CA RA APPROVED 2015-10-12
  • TX RA
    APPROVED_RES
    Since 2016-07-28
  • CA RA
    APPROVED
    Since 2015-10-12

Branch Locations

Lake Forest, CA • United States

500 Newport Ctr Dr, Newport Beach, CA 92660 • 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
Bank Of America, N.A. Irvine CA 10/2015 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Irvine CA 10/2015 Present
Previous Registrations
  • 2015-05-22 → 2015-10-16
    Osaic Services, Inc.
    Costa Mesa, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-06-21
S63 Uniform Securities Agent State Law Examination 2013-02-04
  • S66 Uniform Combined State Law Examination
    2013-06-21
  • S63 Uniform Securities Agent State Law Examination
    2013-02-04
Other Names
  • Jonathan Chow
  • Jonathan Daniel Chow

View on SEC IAPD

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