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Detailed Report
Jennifer S Yoon
JENNY YOON, SOOJUNG JENNY YOON
CRD#: 3076614
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)2003 - 2009 (6 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1998 - 2003 (5 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2004 - 2009 (5 years)
Disclosure(s)
View By:
10/25/2016
Customer Dispute
Settled
7/26/2005
Customer Dispute
Denied
5/4/2004
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 11/14/2016
B
New Jersey 2/22/2011
B
California 10/23/2009
B
New York 10/23/2009
IA
California 10/23/2009
IA
New York 10/13/2022
B
Nevada 10/23/2009

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
Smithtown, NY
Registered with this firm since 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Smithtown, NY
Registered with this firm since 10/23/2009
Previous Registration(s)
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IA
 04/06/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SOUTH PASADENA, CA
B
 09/12/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SOUTH PASADENA, CA
B
 08/20/1998 - 09/10/2003 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
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.