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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 2016-07-28
FL RA APPROVED 2012-03-06
  • TX RA
    APPROVED
    Since 2016-07-28
  • FL RA
    APPROVED
    Since 2012-03-06

Branch Locations

301 Commerce St, Fort Worth, TX 76102 • 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 Jacksonville FL 03/2012 Present
Bank Of America, N.A. New York NY 04/2012 Present
Previous Registrations
Other Businesses

I*:FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME: RENTAL HOME-2INVESTMENT RELATED: NOADDRESS OF BUSINESS: ST. AUGUSTINE, FLORIDA 32092POSITION DUTIES: CO - OWNER OF THE CONDO UNIT. IN CHARGE OF RENTING THE UNIT.START DATE OF RELATIONSHIP: 4/5/2004NUMBER OF HOURS DEVOTED: 2 HRS MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: 3/30/2012 11:30 CHEN, WEN : FAMILY OWNED PROPERTY FOR RENTAL USE.I*:.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL HOMEINVESTMENT RELATED: NOADDRESS OF BUSINESS: JACKSONVILLE, FLORIDA 32207POSITION DUTIES: CO-OWNER OF THE PROPERTY AND RESPONSIBLE TO RENT THE UNIT WITH ANOTHER OWNER.START DATE OF RELATIONSHIP: 5/9/2008NUMBER OF HOURS DEVOTED: 2 HRS MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OWNER OF THE PROPERTY AND RESPONSIBLE FOR RENTING THE UNIT. I*2697266, Entity Type Entity Charitable, Name of OBA: Association of Chinese Professionals DFW Address: RichardsonTexas75083 Investment Related: No Position, Title, Association: Other Employee Start Date: 08/15/2025No Hours:10 yearly No Hours during trading: 0 Duties:twice/year meeting to hear the annual plans from the executive committee and provide possible suggestions. Serving on the Advisory Board

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-11
  • S66 Uniform Combined State Law Examination
    2010-06-11
Other Names
  • Wendy Chen

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