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BRIAN E SOON
BRIAN EDWARD SOON
CRD#: 3058985
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3255 W MARCH LN
STOCKTON, CA 95219
STOCKTON, CA 95219
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
Arizona 8/5/2015
B
Nevada 1/22/2015
B
California 10/25/2013
B
New York 4/30/2019
IA
California 10/25/2013
B
North Carolina 6/28/2018
B
Colorado 8/10/2021
B
Ohio 5/9/2024
B
Florida 7/11/2017
B
Oklahoma 6/28/2018
B
Georgia 2/27/2020
B
Oregon 10/13/2015
B
Hawaii 1/22/2015
B
South Carolina 9/22/2022
B
Idaho 6/28/2018
B
South Dakota 10/18/2022
B
Illinois 8/20/2024
B
Tennessee 12/15/2021
B
Massachusetts 3/25/2021
B
Texas 11/9/2017
B
Minnesota 11/18/2024
IA
Texas 11/13/2017
B
Missouri 6/5/2020
B
Washington 6/28/2018
B
Montana 6/28/2018
B
Wisconsin 10/9/2017
SRO Registrations
B
B
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IA
Registered with this firm since 10/25/2013
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Registered with this firm since 10/25/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/20/2012 - 09/30/2013 | SACRAMENTO, CA | |
B | 06/20/2012 - 09/30/2013 | SACRAMENTO, CA | |
IA | 11/19/1998 - 05/21/2012 | STOCKTON, CA | |
B | 07/02/1998 - 05/21/2012 | STOCKTON, CA |
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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.