Shiyi Kevin Xia

Merrill Lynch, Pierce, Fenner & Smith Incorporated

West Covina, CA

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-05-07
CA	RA	APPROVED	2019-03-19

TX RA
APPROVED

Since 2019-05-07
CA RA
APPROVED

Since 2019-03-19

Branch Locations

200 S Lemon Ave, Walnut, CA 91789 • United States

150 S California Ave, West Covina, CA 91790 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Walnut	CA	03/2014	Present
Bank Of America N.A.	Walnut	CA	03/2014	Present

03/2014 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Walnut, CA
03/2014 → Present

Bank Of America N.A.

Walnut, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-03-17

S66 Uniform Combined State Law Examination

2019-03-17

Other Names

Kevin Xia
Kevin Xia
Shiyi Xia

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · WALNUT, CA

WORKLIFE VENTURES MANAGEMENT, LLC · WALNUT, CA

WELLS FARGO CLEARING SERVICES, LLC · WALNUT, CA

BROOKSTONE WEALTH ADVISORS, LLC · Walnut, CA

ALLSTATE FINANCIAL ADVISORS, LLC · Walnut, CA

LPL FINANCIAL LLC · WALNUT, CA

OSAIC WEALTH, INC. · DIAMOND BAR, CA

LAGOS WEALTH ADVISORS · DIAMOND BAR, CA

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