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Chiahwei Christine Ku

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, 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
CA RA APPROVED 2022-05-31
  • CA RA
    APPROVED
    Since 2022-05-31

Branch Locations

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
Citigroup Global Markets Inc. Torrance CA 05/2007 05/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pasadena CA 05/2022 Present
Bank Of America, N.A. Pasadena CA 08/2022 Present
Previous Registrations
  • 2020-05-14 → 2022-05-27
    Citigroup Global Markets Inc.
    Burbank, CA
    Torrance, CA
    Fountain Valley, CA
    Burbank, CA
    Fountain Valley, CA
    Newbury Park, CA
    Fort Mill, SC
    San Antonio, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-05-14
S63 Uniform Securities Agent State Law Examination 2006-09-28
  • S65 Uniform Investment Adviser Law Examination
    2020-05-14
  • S63 Uniform Securities Agent State Law Examination
    2006-09-28
Other Names
  • Chiahwei Christine Kui
  • Christine Ku

View on SEC IAPD

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CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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