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Rong Wang

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hacienda Heights, 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 2022-01-05
CA RA APPROVED 2021-12-13
  • TX RA
    APPROVED
    Since 2022-01-05
  • CA RA
    APPROVED
    Since 2021-12-13

Branch Locations

1605 S Azusa Ave, Hacienda Heights, CA 91745 • 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
J.P. Morgan Chase Bank, N.A. New York NY 07/2019 08/2021
J.P. Morgan Securities, Llc New York NY 07/2019 08/2021
Unemployed New York NY 03/2019 06/2019
Lanchid Llc New York NY 12/2018 02/2019
Unemployed Bronx NY 05/2009 06/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 09/2021 Present
Fordham University New York NY 09/2014 02/2019
Bank Of America, N.A. San Francisco CA 11/2021 Present
  • 07/2019 → 08/2021
    J.P. Morgan Chase Bank, N.A.
    New York, NY
  • 07/2019 → 08/2021
    J.P. Morgan Securities, Llc
    New York, NY
  • 03/2019 → 06/2019
    Unemployed
    New York, NY
  • 12/2018 → 02/2019
    Lanchid Llc
    New York, NY
  • 05/2009 → 06/2017
    Unemployed
    Bronx, NY
  • 09/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Francisco, CA
  • 09/2014 → 02/2019
    Fordham University
    New York, NY
  • 11/2021 → Present
    Bank Of America, N.A.
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-10
S63 Uniform Securities Agent State Law Examination 2019-09-10
  • S66 Uniform Combined State Law Examination
    2021-12-10
  • S63 Uniform Securities Agent State Law Examination
    2019-09-10

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CETERA INVESTMENT ADVISERS LLC
EAGLE STRATEGIES LLC
PACKERLAND BROKERAGE SERVICES, INC.
WELLS FARGO CLEARING SERVICES, LLC
LPL ENTERPRISE, LLC
CITIGROUP GLOBAL MARKETS INC.

Other Investors

Boyuan Zhou
yvonne rui qi
sarah zhu
Lu Chen
Paul Wu
Hsiao-Chi Chen Wu
LIKE WU
YING GAO

Other Offices

J.P. MORGAN SECURITIES LLC · CITY OF INDUSTRY, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · HACIENDA HEIGHTS, CA
CETERA INVESTMENT ADVISERS LLC · ROWLAND HEIGHTS, CA
EAGLE STRATEGIES LLC · ROWLAND HEIGHT, CA
CETERA INVESTMENT ADVISERS LLC · ROWLAND HEIGHTS, CA
PACKERLAND BROKERAGE SERVICES, INC. · City of Industry, CA
WELLS FARGO CLEARING SERVICES, LLC · CITY OF INDUSTRY, CA
LPL ENTERPRISE, LLC · CITY OF INDUSTRY, CA

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