Individual Firm
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MICHAEL MINKAT CHONG
CRD#: 2915628
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 45 WILLIAM ST
WELLESLEY HILLS, MA 02481
WELLESLEY HILLS, MA 02481
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1/21/2009
Customer Dispute
Settled
State Registrations
B
Arizona 5/5/2022
B
Missouri 5/29/2019
B
California 10/23/2009
B
Nevada 8/18/2022
B
Colorado 9/18/2024
B
New Hampshire 10/23/2009
B
Connecticut 10/23/2009
B
New Jersey 10/23/2009
IA
Connecticut 10/26/2009
B
New York 10/23/2009
B
Delaware 3/22/2024
B
North Carolina 10/23/2009
B
District of Columbia 10/24/2019
B
Ohio 12/3/2015
B
Florida 10/23/2009
B
Oregon 7/27/2011
B
Georgia 11/7/2023
B
Pennsylvania 10/23/2009
B
Hawaii 4/5/2019
B
Rhode Island 10/23/2009
B
Illinois 8/6/2015
B
South Carolina 10/23/2009
B
Indiana 1/9/2024
B
Tennessee 3/6/2024
B
Kentucky 12/8/2015
IA
Texas 7/5/2012
B
Maine 10/23/2009
B
Texas 1/21/2016
B
Maryland 10/5/2020
B
Utah 6/7/2024
B
Massachusetts 10/23/2009
B
Vermont 10/18/2017
B
Michigan 4/6/2021
B
Virgin Islands 2/12/2025
B
Minnesota 10/24/2023
B
Virginia 6/21/2019
B
Mississippi 2/8/2022
B
Washington 1/14/2021
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 10/26/2009
B
Registered with this firm since 10/23/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/10/2007 - 10/23/2009 | BOSTON, MA | |
B | 01/01/2007 - 10/23/2009 | BOSTON, MA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.