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JESSICA CHIA-YU PAN
CHIA-YU JESSICA PAN, CHIAYU JESSICA PAN
CRD#: 2980236
IA
Investment Adviser
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Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 5348 WESTHEIMER RD
HOUSTON, TX 77056
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 1998 (<1 year)2 FIRMS1999 - 2011 (11 years)2 FIRMS2016 - Present (8 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2012 - 2016 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 1999 (1 year)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2013 - 2016 (3 years)
License(s)

State Registrations

B
Arkansas 8/11/2016

B
Maryland 5/7/2024

B
California 8/5/2021

B
New Mexico 8/11/2016

B
Colorado 8/11/2016

B
Oklahoma 8/11/2016

B
Florida 8/11/2016

B
Texas 8/11/2016

B
Illinois 2/12/2024

IA
Texas 8/11/2016

B
Louisiana 8/11/2016

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

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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)
5348 WESTHEIMER RD, HOUSTON, TX 77056
1905 W GRAY ST, HOUSTON, TX 77019
Registered with this firm since 8/11/2016

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
5348 WESTHEIMER RD, HOUSTON, TX 77056
1905 W GRAY ST, HOUSTON, TX 77019
Registered with this firm since 8/11/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/07/2013 - 08/31/2016 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) HOUSTON, TX
B
10/11/2012 - 08/15/2016 FIRST ALLIED SECURITIES, INC. (CRD#:32444) HOUSTON, TX
IA
11/08/1999 - 10/24/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) HOUSTON, TX
B
11/08/1999 - 10/24/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) HOUSTON, TX
B
08/27/1998 - 09/29/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
01/01/1998 - 05/01/1998 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
01/01/1998 - 05/01/1998 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
Disclosures
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