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Tom Wang
CRD#: 2603364
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
PASADENA, CA 91101
0
Disclosures
23
Years of Experience
View By:
State Registrations
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Arizona 2/13/2023
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Oregon 2/13/2023
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California 1/20/2023
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Texas 2/13/2023
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California 1/20/2023
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Texas 3/3/2023
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Florida 2/13/2023
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Washington 2/13/2023
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Nevada 2/13/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 1/20/2023
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Registered with this firm since 12/1/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/03/2015 - 08/21/2019 | SOUTH PASADENA, CA | |
B | 03/15/2010 - 01/06/2012 | GLENDALE, CA | |
B | 09/15/2003 - 03/30/2010 | GLENDALE, CA | |
B | 01/12/2004 - 01/20/2004 | LONG ISLAND CITY, NY | |
B | 09/02/1997 - 09/15/2003 | OAK PARK, IL | |
B | 04/21/1995 - 07/07/1997 | OAKDALE, MN |
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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.
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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.