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Li Sun
CRD#: 4512231
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
PASADENA, CA 91101
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Arizona 10/23/2009
B
New Mexico 4/29/2010
B
California 10/23/2009
B
New York 10/23/2009
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California 10/23/2009
B
North Carolina 4/30/2010
B
Colorado 10/23/2009
B
North Dakota 8/9/2018
B
Delaware 10/10/2024
B
Ohio 1/25/2023
B
District of Columbia 3/1/2021
B
Oregon 10/23/2009
B
Florida 1/15/2019
B
Pennsylvania 10/23/2009
B
Georgia 1/15/2021
B
Rhode Island 1/15/2019
B
Hawaii 11/16/2022
B
Tennessee 7/15/2014
B
Idaho 1/15/2021
B
Texas 10/23/2009
B
Illinois 11/4/2020
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Texas 2/15/2013
B
Maryland 1/25/2023
B
Utah 9/1/2023
B
Massachusetts 1/25/2023
B
Virginia 10/13/2014
B
Minnesota 9/23/2014
B
Washington 10/23/2009
B
Missouri 4/17/2023
B
Wisconsin 4/1/2021
B
Nevada 10/23/2009
B
Wyoming 10/1/2020
B
New Jersey 6/3/2024
SRO Registrations
B
B
B
B
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B
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IA
Registered with this firm since 10/23/2009
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Registered with this firm since 10/23/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2007 - 10/23/2009 | PASADENA, CA | |
B | 11/02/2006 - 10/23/2009 | PASADENA, CA | |
B | 03/31/2004 - 09/18/2006 | WALNUT, 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.
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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.