Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
WEN LEE
CRD#: 2931791
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2001 - 2009 (7 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1999 - 2001 (2 years)BSIGNATOR INVESTORS, INC. (CRD# 468)1998 - 1999 (1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2009 (7 years)
License(s)

State Registrations

B
Arizona 3/27/2019
B
Georgia 10/15/2024
B
California 10/23/2009
B
Nevada 3/6/2015
IA
California 10/23/2009
IA
Texas 3/17/2022

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 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 10/23/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/04/2002 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) TEMPLE CITY, CA
B
 12/04/2001 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) TEMPLE CITY, CA
B
 06/24/1999 - 12/07/2001 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 05/19/1998 - 06/30/1999 SIGNATOR INVESTORS, INC. (CRD#:468) BOSTON, MA
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.