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Lin Shen

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pleasanton, 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 2019-05-16
  • CA RA
    APPROVED
    Since 2019-05-16

Branch Locations

4900 Hopyard Rd, Pleasanton, CA 94588 • 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 Pleasanton CA 01/2019 Present
Unemployed Dublin CA 01/2014 01/2019
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-10
  • S66 Uniform Combined State Law Examination
    2019-05-10
Other Names
  • Catherine Lin Shen

View on SEC IAPD

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Other Offices

PRUDENT PROSPERA PLANNING, INC. · PLEASANTON, CA
CETERA INVESTMENT ADVISERS LLC · PLEASANTON, CA
PANDECT CATALYST FUND MANAGEMENT LLC · PLEASANTON, CA
ADAP TAX FINANCIAL, INC. · PLEASANTON, CA
BUCK WEALTH STRATEGIES, LLC · PLEASANTAN, CA
DEJARNATT, PAUL E · PLEASANTON, CA
LPL FINANCIAL LLC · PLEASANTON, CA
LEGACY WEALTH MANAGEMENT, LLC · Pleasanton, CA

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