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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2023-04-11
MN RA APPROVED 2013-11-01
TX RA APPROVED 2006-11-14
  • NV RA
    APPROVED
    Since 2023-04-11
  • MN RA
    APPROVED
    Since 2013-11-01
  • TX RA
    APPROVED
    Since 2006-11-14

Branch Locations

80 S 8Th St, Minneapolis, MN 55402 • United States

8300 Norman Center Dr, Bloomington, MN 55437 • United States

Henderson, NV • 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 Minneapolis MN 02/2006 Present
Bank Of America,Na Minneapolis MN 09/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-05
  • S66 Uniform Combined State Law Examination
    2006-06-05
Designations
Other Names
  • Ke K Chen

View on SEC IAPD

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