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Yunqing Xu

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, 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 2020-08-19
CA RA APPROVED 2020-07-17
  • TX RA
    APPROVED
    Since 2020-08-19
  • CA RA
    APPROVED
    Since 2020-07-17

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Anaheim CA 04/2020 Present
Bank Of America, N.A. Anaheim CA 04/2020 Present
Capcom Federal Credit Union Albany NY 05/2017 03/2020
Citizens Bank Albany NY 03/2015 05/2017
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-16
  • S66 Uniform Combined State Law Examination
    2020-07-16

View on SEC IAPD

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Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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