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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 2023-01-23
CA RA APPROVED 2022-12-22
  • TX RA
    APPROVED
    Since 2023-01-23
  • CA RA
    APPROVED
    Since 2022-12-22

Branch Locations

18641 S Gridley Rd, Cerritos, CA 90703 • 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
New York Life Insurance Company Willaimville NY 08/2020 08/2022
California State College Fullerton Fullerton CA 01/2018 05/2020
Nylife Securities Llc. Williamsville NY 01/2021 08/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Cerritos CA 08/2022 Present
Mountain San Antonio College Walnut CA 08/2015 12/2017
Bank Of America N.A. Cerritos CA 11/2022 Present
  • 08/2020 → 08/2022
    New York Life Insurance Company
    Willaimville, NY
  • 01/2018 → 05/2020
    California State College Fullerton
    Fullerton, CA
  • 01/2021 → 08/2022
    Nylife Securities Llc.
    Williamsville, NY
  • 08/2022 → Present
    Cerritos, CA
  • 08/2015 → 12/2017
    Mountain San Antonio College
    Walnut, CA
  • 11/2022 → Present
    Bank Of America N.A.
    Cerritos, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-02
S63 Uniform Securities Agent State Law Examination 2021-03-05
  • S66 Uniform Combined State Law Examination
    2022-12-02
  • S63 Uniform Securities Agent State Law Examination
    2021-03-05
Other Names
  • Ming H Tsou

View on SEC IAPD

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