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Eric TIN Chen
ERIC T CHEN
CRD#: 4871560
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 SPECTRUM CENTER DR
IRVINE, CA 92618
IRVINE, CA 92618
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
Alabama 10/25/2019
B
New Jersey 4/1/2009
B
Arizona 4/9/2024
B
New York 1/21/2025
B
California 10/25/2007
B
North Carolina 10/21/2015
IA
California 10/25/2007
B
Pennsylvania 8/6/2024
B
Florida 1/14/2013
IA
Texas 3/12/2009
B
Idaho 5/14/2009
B
Texas 6/22/2016
B
Massachusetts 8/21/2023
B
Virginia 1/30/2024
B
Michigan 8/11/2022
B
Washington 9/23/2024
B
Montana 8/13/2024
B
Wyoming 9/13/2022
B
Nevada 4/18/2023
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 10/25/2007
B
Registered with this firm since 10/25/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/30/2006 - 10/31/2007 | PALO ALTO, CA | |
B | 11/30/2006 - 10/31/2007 | PALO ALTO, CA | |
IA | 10/19/2005 - 06/07/2006 | CUPERTINO, CA | |
B | 08/16/2005 - 06/07/2006 | PURCHASE, NY | |
B | 03/09/2005 - 07/25/2005 | LONG ISLAND CITY, NY |
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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.