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Pui K Szeto

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tukwila, WA

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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 2024-07-15
WA RA APPROVED 2024-06-04
  • TX RA
    APPROVED
    Since 2024-07-15
  • WA RA
    APPROVED
    Since 2024-06-04

Branch Locations

320 Strander Blvd, Tukwila, WA 98188 • 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 Tukwila WA 05/2022 Present
Paragon Asia Holding Limited Hong Kong 12/2019 01/2022
Bitwork Hong Kong 06/2018 11/2019
The Hong Kong Federation Of Youth Groups Hong Kong 12/2016 06/2018
Unique Education Limited Hong Kong 05/2014 03/2018
Unemployed Kent WA 01/2022 05/2022
Bank Of America N.A. Tukwila WA 05/2024 Present
  • 05/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Tukwila, WA
  • 12/2019 → 01/2022
    Paragon Asia Holding Limited
    Hong Kong
  • 06/2018 → 11/2019
    Bitwork
    Hong Kong
  • 12/2016 → 06/2018
    The Hong Kong Federation Of Youth Groups
    Hong Kong
  • 05/2014 → 03/2018
    Unique Education Limited
    Hong Kong
  • 01/2022 → 05/2022
    Unemployed
    Kent, WA
  • 05/2024 → Present
    Bank Of America N.A.
    Tukwila, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-02
  • S66 Uniform Combined State Law Examination
    2024-04-02
Other Names
  • Samuel Szeto
  • Sam Szeto
  • Pui Kit Szeto

View on SEC IAPD

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LANCE KENJI NEKOTA
DARREN DOUGLAS HOREJSI
SERGIO GABRIEL GARZA
BRENDA SUE HUBER
CATHERINE MARIE SIMMONS
Nathaniel Allan Engstrom
TONYA N PARKER
JEREMY BARRETTE

Other Offices

LPL FINANCIAL LLC · TUKWILA, WA
CETERA INVESTMENT ADVISERS LLC · TUKWILA, WA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Tukwila, WA
OSAIC WEALTH, INC. · SEATTLE, WA
PLANMEMBER SECURITIES CORPORATION · Seattle, WA
DECKER RETIREMENT PLANNING INC. · Renton, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Tukwila, WA
EDWARD JONES · Tukwila, WA

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