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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 2023-01-31
CA RA APPROVED 2022-12-09
  • TX RA
    APPROVED
    Since 2023-01-31
  • CA RA
    APPROVED
    Since 2022-12-09

Branch Locations

8856 Valley Blvd, Rosemead, CA 91770 • 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
Bank Of America Monterey Park CA 08/2019 Present
Jes Led Technology Baldwin Park CA 05/2019 07/2019
Tech Source International La Palma CA 12/2005 04/2019
  • 08/2019 → Present
    Bank Of America
    Monterey Park, CA
  • 05/2019 → 07/2019
    Jes Led Technology
    Baldwin Park, CA
  • 12/2005 → 04/2019
    Tech Source International
    La Palma, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-08
  • S66 Uniform Combined State Law Examination
    2022-12-08
Other Names
  • Hungchih Chen
  • Tony Chen

View on SEC IAPD

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