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Carol Wong

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, 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 2026-04-08
CA RA APPROVED 2026-02-23
  • TX RA
    APPROVED
    Since 2026-04-08
  • CA RA
    APPROVED
    Since 2026-02-23

Branch Locations

520 Newport Center Dr Pbig - Fashion Island, Newport Beach, CA 92660 • 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 Beverly Hills CA 09/2021 Present
Bank Of America Alhambra CA 09/2021 12/2022
Bank Of America Alhambra CA 12/2022 06/2024
Process One Services San Gabriel CA 01/2015 12/2020
Unemployed San Gabriel CA 01/2021 08/2021
  • 09/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Beverly Hills, CA
  • 09/2021 → 12/2022
    Bank Of America
    Alhambra, CA
  • 12/2022 → 06/2024
    Bank Of America
    Alhambra, CA
  • 01/2015 → 12/2020
    Process One Services
    San Gabriel, CA
  • 01/2021 → 08/2021
    Unemployed
    San Gabriel, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-18
S63 Uniform Securities Agent State Law Examination 2024-05-29
  • S65 Uniform Investment Adviser Law Examination
    2025-04-18
  • S63 Uniform Securities Agent State Law Examination
    2024-05-29

View on SEC IAPD

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