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Weijia Guo

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Millbrae, 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 2021-06-30
CA RA APPROVED 2021-06-01
  • TX RA
    APPROVED
    Since 2021-06-30
  • CA RA
    APPROVED
    Since 2021-06-01

Branch Locations

555 Broadway, Millbrae, CA 94030 • 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
Pruco Securities, Llc San Francisco CA 06/2017 07/2019
Izakaya Umai San Francisco CA 11/2015 03/2017
Partner Equity San Francisco CA 05/2017 05/2018
Unemployed San Francisco CA 03/2017 05/2017
The Prudential Insurance Company Of America San Francisco CA 12/2017 04/2019
Bank Of America San Francisco CA 04/2019 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 04/2019 Present
  • 06/2017 → 07/2019
    Pruco Securities, Llc
    San Francisco, CA
  • 11/2015 → 03/2017
    Izakaya Umai
    San Francisco, CA
  • 05/2017 → 05/2018
    Partner Equity
    San Francisco, CA
  • 03/2017 → 05/2017
    Unemployed
    San Francisco, CA
  • 12/2017 → 04/2019
    The Prudential Insurance Company Of America
    San Francisco, CA
  • 04/2019 → Present
    Bank Of America
    San Francisco, CA
  • 04/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-29
S63 Uniform Securities Agent State Law Examination 2017-11-27
  • S66 Uniform Combined State Law Examination
    2021-05-29
  • S63 Uniform Securities Agent State Law Examination
    2017-11-27
Other Names
  • Spring Guo

View on SEC IAPD

Other Firms

WELLS FARGO CLEARING SERVICES, LLC
EMERSON EQUITY LLC
SHUYI KONG WEALTH MANAGEMENT, INC.
U.S. BANCORP ADVISORS, LLC
CONQUIS FINANCIAL LLC
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

YINGQUAN ZHANG
JULIE CHI-CHING CHEN TUNG
MATTHEW PAUL SOLIS
HARDIT NARAYAN CHAUDHARY
Shuyi Kong
Jason Chia Wun Chen
KATHERINE ANN SIMMONDS
Jacob David Levy

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · MILLBRAE, CA
EMERSON EQUITY LLC · Millbrae, CA
SHUYI KONG WEALTH MANAGEMENT, INC. · MILLBRAE, CA
U.S. BANCORP ADVISORS, LLC · Millbrae, CA
CONQUIS FINANCIAL LLC · MILLBRAE, CA
CETERA INVESTMENT ADVISERS LLC · MILLBRAE, CA
J.P. MORGAN SECURITIES LLC · MILLBRAE, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Millbrae, CA

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