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Taeeon Kim

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

Allen, TX

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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 2024-01-09
NY RA APPROVED 2021-04-19
NJ RA APPROVED 2016-06-16
  • TX RA
    APPROVED
    Since 2024-01-09
  • NY RA
    APPROVED
    Since 2021-04-19
  • NJ RA
    APPROVED
    Since 2016-06-16

Branch Locations

2100 Ross Ave, Dallas, TX 75201 • United States

Allen, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bayside NY 06/2016 Present
Bank Of America, N.A. Bayside NY 07/2016 Present
Previous Registrations
  • 2009-10-13 → 2016-07-05
    Lpl Financial Llc
    San Diego, CA
    Bayside, NY
    New York, NY
  • 2007-05-29 → 2009-10-29
    Citigroup Global Markets Inc.
    New York, NY
    Long Island City, NY
    New York, NY
    Bayside, NY
  • 2005-05-06 → 2007-05-29
    Citicorp Investment Services
    Bayside, NY
    Bayside, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-09-20
S63 Uniform Securities Agent State Law Examination 1999-03-12
  • S65 Uniform Investment Adviser Law Examination
    2004-09-20
  • S63 Uniform Securities Agent State Law Examination
    1999-03-12
Other Names
  • Steven T Kim

View on SEC IAPD

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