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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2010-06-29
TX RA APPROVED 2006-07-10
NJ RA APPROVED 2005-09-05
  • PA RA
    APPROVED
    Since 2010-06-29
  • TX RA
    APPROVED
    Since 2006-07-10
  • NJ RA
    APPROVED
    Since 2005-09-05

Branch Locations

985 Berkshire Blvd, Wyomissing, PA 19610 • United States

Mohnton, PA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wyomissing PA 05/2005 Present
Bank Of America, N.A Wyomissing PA 10/2012 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-02
  • S66 Uniform Combined State Law Examination
    2005-09-02
Other Names
  • David Y Kim

View on SEC IAPD

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