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Chun H Ng

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, CA

Chino Hills, 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 2025-02-07
CA RA APPROVED 2024-11-28
  • TX RA
    APPROVED
    Since 2025-02-07
  • CA RA
    APPROVED
    Since 2024-11-28

Branch Locations

3550 Vine St, Riverside, CA 92507 • United States

4100 Chino Hills Pkwy, Chino Hills, CA 91709 • 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 Diamond Bar CA 09/2015 05/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chino Hills CA 08/2024 Present
East West Bank City Of Industry CA 05/2024 08/2024
Bank Of America, N.A. Chino Hills CA 01/2025 Present
  • 09/2015 → 05/2024
    Bank Of America
    Diamond Bar, CA
  • 08/2024 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Chino Hills, CA
  • 05/2024 → 08/2024
    East West Bank
    City Of Industry, CA
  • 01/2025 → Present
    Bank Of America, N.A.
    Chino Hills, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-27
S63 Uniform Securities Agent State Law Examination 2015-03-04
  • S66 Uniform Combined State Law Examination
    2024-11-27
  • S63 Uniform Securities Agent State Law Examination
    2015-03-04
Other Names
  • Chun H Ng
  • Chun Hing Ng
  • Jimmy Ng

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · Riverside, CA
UBS FINANCIAL SERVICES INC. · RIVERSIDE, CA
AMERIPRISE FINANCIAL SERVICES, LLC · RIVERSIDE, CA
EDWARD JONES · RIVERSIDE, CA
LPL FINANCIAL LLC · RIVERSIDE, CA
WELLS FARGO CLEARING SERVICES, LLC · RIVERSIDE, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Riverside, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · RIVERSIDE, CA

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