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Detailed Report
KARA JUN BELASCO
KARA JUN SHIMIZU
CRD#: 4947279
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1331 N CALIFORNIA BLVD
WALNUT CREEK, CA 94596
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2011 (2 years)2 FIRMS2011 - Present (13 years)
License(s)

State Registrations

B
Alabama 10/2/2023
B
Missouri 6/27/2011
B
Alaska 5/17/2021
B
Montana 4/1/2019
B
Arizona 6/27/2011
B
Nebraska 5/3/2021
B
Arkansas 5/3/2021
B
Nevada 6/27/2011
B
California 6/24/2011
B
New Jersey 6/27/2011
IA
California 6/24/2011
B
New Mexico 6/27/2011
B
Colorado 6/27/2011
B
New York 6/27/2011
B
Connecticut 6/27/2011
B
North Carolina 6/28/2011
B
Delaware 10/2/2023
B
Ohio 6/27/2011
B
District of Columbia 6/27/2011
B
Oklahoma 5/3/2021
B
Florida 6/27/2011
B
Oregon 6/27/2011
B
Georgia 6/27/2011
B
Pennsylvania 6/27/2011
B
Hawaii 5/3/2021
B
Rhode Island 2/1/2022
B
Idaho 6/27/2011
B
South Carolina 6/27/2011
B
Illinois 6/27/2011
B
South Dakota 1/25/2018
B
Indiana 6/27/2019
B
Tennessee 6/27/2011
B
Iowa 6/27/2011
B
Texas 6/27/2011
B
Kansas 7/1/2022
IA
Texas 3/22/2013
B
Louisiana 5/3/2021
B
Utah 6/27/2011
B
Maine 10/8/2017
B
Virginia 6/27/2011
B
Maryland 6/27/2011
B
Washington 6/27/2011
B
Massachusetts 6/27/2011
B
West Virginia 8/17/2020
B
Michigan 6/27/2011
B
Wisconsin 5/3/2021
B
Minnesota 5/3/2021
B
Wyoming 6/27/2011

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)
1331 N CALIFORNIA BLVD, WALNUT CREEK, CA 94596
Registered with this firm since 6/24/2011
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1331 N CALIFORNIA BLVD, WALNUT CREEK, CA 94596
Registered with this firm since 6/24/2011
Previous Registration(s)
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IA
 12/12/2008 - 05/23/2011 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) CAMPBELL, CA
B
 08/06/2008 - 05/23/2011 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) CAMPBELL, CA
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.