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Detailed Report
CHRISTINE PANDO
CHRISTINE SUK-YEE KWAN ^^, CHRISTINE SUK-YEE KWAN, CHRISTINE SUK-YEE^^ KWAN ^^, CHRISTINE SUK-YEE^^ KWAN-PANDO ^^
CRD#: 2803354
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2005 (2 years)2 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2008 (3 years)2 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - Present (14 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1999 - 2003 (3 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1996 - 1999 (2 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)1998 - 2003 (4 years)
License(s)

State Registrations

B
Arizona 7/29/2011
B
Nevada 7/29/2011
B
Arkansas 1/5/2024
B
New York 7/29/2011
B
California 3/4/2011
B
North Carolina 10/29/2020
IA
California 3/4/2011
B
Ohio 9/2/2021
B
Colorado 4/14/2016
B
Oklahoma 1/19/2022
B
Florida 7/29/2011
B
Oregon 7/29/2011
B
Georgia 7/29/2011
B
Pennsylvania 1/2/2025
B
Hawaii 9/24/2014
B
South Carolina 8/16/2023
B
Idaho 11/7/2016
B
Texas 7/29/2011
B
Illinois 7/29/2011
IA
Texas 8/5/2011
B
Indiana 2/14/2012
B
Utah 3/21/2025
B
Kansas 7/29/2011
B
Vermont 2/9/2017
B
Massachusetts 7/29/2011
B
Virginia 1/2/2015
B
Michigan 3/21/2025
B
Washington 7/29/2011
B
Minnesota 2/9/2023
B
Wisconsin 6/12/2024

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 3/4/2011
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 3/4/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/13/2010 - 03/01/2011 HSBC SECURITIES (USA) INC. (CRD#:19585) PASADENA, CA
B
 07/13/2010 - 03/01/2011 HSBC SECURITIES (USA) INC. (CRD#:19585) PASADENA, CA
IA
 10/07/2005 - 12/01/2008 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
B
 10/07/2005 - 12/01/2008 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
IA
 05/23/2005 - 09/12/2005 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) LOS ANGELES, CA
B
 05/23/2005 - 09/12/2005 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
IA
 04/14/2003 - 04/18/2005 CITICORP INVESTMENT SERVICES (CRD#:23988) PASADENA, CA
B
 04/14/2003 - 04/18/2005 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
IA
 05/12/1998 - 04/11/2003 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
B
 07/12/1999 - 04/11/2003 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
 10/10/1996 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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
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.