Individual Firm
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Ken Park
CRD#: 2455987
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
PASADENA, CA 91101
0
Disclosures
29
Years of Experience
View By:
State Registrations
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California 10/23/2009
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New York 10/23/2009
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California 10/23/2009
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North Carolina 12/21/2015
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Florida 9/22/2020
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Oregon 12/18/2017
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Maine 9/15/2020
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Texas 3/8/2010
B
Massachusetts 11/2/2023
B
Texas 1/23/2012
B
Nevada 10/23/2009
B
Washington 2/20/2018
B
New Hampshire 11/2/2023
SRO Registrations
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Registered with this firm since 10/23/2009
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Registered with this firm since 10/23/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/27/2004 - 10/23/2009 | LOS ANGELES, CA | |
B | 02/27/2004 - 10/23/2009 | LOS ANGELES, CA | |
IA | 09/21/2001 - 03/11/2004 | BEVERLY HILLS, CA | |
B | 02/22/2001 - 03/11/2004 | NEW YORK, NY | |
B | 04/05/1994 - 02/08/2000 | BOSTON, MA | |
B | 04/05/1994 - 05/01/1997 | BOSTON, MA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.