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Ian W Tang

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pleasanton, 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_RES 2026-04-09
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2026-04-09
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

4900 Hopyard Rd, Pleasanton, CA 94588 • 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 Oakland CA 10/2009 Present
Bank Of America,N.A. Pleasanton CA 06/2011 Present
Previous Registrations
  • 2008-11-17 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Walnut Creek, CA
    Oakland, CA
    Oakland, CA
    Alameda, CA
    Alameda, CA
    Alameda, CA
    Alameda, CA
  • 2007-02-01 → 2008-11-18
    Wells Fargo Clearing Services, Llc
    Alamo, CA
    Pleasanton, CA
    Roseville, CA
  • 2004-01-26 → 2005-01-20
    Ifmg Securities, Inc.
    Mountain View, CA
  • 2002-08-30 → 2002-12-05
    Morgan Stanley Dw Inc.
    Hayward, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-12-19
S63 Uniform Securities Agent State Law Examination 1991-11-07
  • S65 Uniform Investment Adviser Law Examination
    2006-12-19
  • S63 Uniform Securities Agent State Law Examination
    1991-11-07
Other Names
  • Ian Wai Lup Tang
  • Ian Tang

View on SEC IAPD

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Other Offices

PRUDENT PROSPERA PLANNING, INC. · PLEASANTON, CA
CETERA INVESTMENT ADVISERS LLC · PLEASANTON, CA
PANDECT CATALYST FUND MANAGEMENT LLC · PLEASANTON, CA
ADAP TAX FINANCIAL, INC. · PLEASANTON, CA
BUCK WEALTH STRATEGIES, LLC · PLEASANTAN, CA
DEJARNATT, PAUL E · PLEASANTON, CA
LPL FINANCIAL LLC · PLEASANTON, CA
LEGACY WEALTH MANAGEMENT, LLC · Pleasanton, CA

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