• 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.
ALICE KWOK
CRD#: 4466922
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
PBIG - SAN FRANCISCO
SAN FRANCISCO, CA 94104
Registration History
2002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2003 - Present (21 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2002 - Present (23 years)
License(s)

State Registrations

B
Alabama 12/1/2009

B
New Jersey 5/28/2009

B
Alaska 9/21/2022

B
New Mexico 5/28/2009

B
Arizona 5/28/2009

B
New York 5/28/2009

B
California 3/28/2003

B
North Carolina 5/28/2009

IA
California 3/28/2003

B
North Dakota 11/25/2022

B
Colorado 5/28/2009

B
Ohio 5/29/2009

B
Connecticut 5/28/2009

B
Oregon 5/28/2009

B
Delaware 3/6/2014

B
Pennsylvania 5/28/2009

B
District of Columbia 6/18/2024

B
Puerto Rico 7/15/2022

B
Florida 5/28/2009

B
Rhode Island 10/1/2024

B
Georgia 5/28/2009

B
South Carolina 10/21/2020

B
Hawaii 5/28/2009

B
South Dakota 8/15/2024

B
Idaho 5/28/2009

B
Tennessee 5/28/2009

B
Illinois 5/28/2009

B
Texas 5/28/2009

B
Kentucky 5/28/2009

IA
Texas 6/11/2009

B
Louisiana 12/18/2023

B
Utah 5/28/2009

B
Maine 7/1/2021

B
Vermont 1/22/2018

B
Massachusetts 5/28/2009

B
Virginia 5/28/2009

B
Michigan 5/28/2009

B
Washington 5/28/2009

B
Missouri 4/1/2020

B
Wisconsin 4/12/2021

B
Nevada 5/28/2009

B
Wyoming 2/17/2014

B
New Hampshire 3/5/2010

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)
555 CALIFORNIA ST PBIG - SAN FRANCISCO, SAN FRANCISCO, CA 94104
Registered with this firm since 3/28/2003

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST PBIG - SAN FRANCISCO, SAN FRANCISCO, CA 94104
Registered with this firm since 2/20/2002

For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.