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Kim K Chu
KIM KANG CHAU, YIK KANG CHAU
CRD#: 5376670
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 500 NEWPORT CTR DR
NEWPORT BEACH, CA 92660
Registration History
20082010201220142016201820202022202420262 FIRMS2015 - Present (9 years)BSCOTTRADE, INC. (CRD# 8206)2008 - 2015 (7 years)
License(s)

State Registrations

B
Alabama 4/27/2016

B
Nebraska 4/27/2016

B
Alaska 4/27/2016

B
Nevada 4/27/2016

B
Arizona 4/27/2016

B
New Hampshire 4/27/2016

B
Arkansas 4/27/2016

B
New Jersey 4/27/2016

B
California 6/9/2015

B
New Mexico 4/27/2016

IA
California 7/6/2015

B
New York 4/27/2016

B
Colorado 4/27/2016

B
North Carolina 4/27/2016

B
Connecticut 4/27/2016

B
North Dakota 4/27/2016

B
Delaware 4/27/2016

B
Ohio 4/28/2016

B
District of Columbia 4/27/2016

B
Oklahoma 4/27/2016

B
Florida 4/27/2016

B
Oregon 4/27/2016

B
Georgia 4/27/2016

B
Pennsylvania 4/27/2016

B
Hawaii 4/27/2016

B
Puerto Rico 4/27/2016

B
Idaho 4/27/2016

B
Rhode Island 4/27/2016

B
Illinois 4/27/2016

B
South Carolina 4/27/2016

B
Indiana 4/27/2016

B
South Dakota 4/27/2016

B
Iowa 4/27/2016

B
Tennessee 4/27/2016

B
Kansas 4/27/2016

B
Texas 4/27/2016

B
Kentucky 4/27/2016

IA
Texas 4/28/2016

B
Louisiana 4/27/2016

B
Utah 4/27/2016

B
Maine 4/27/2016

B
Vermont 4/27/2016

B
Maryland 4/27/2016

B
Virgin Islands 4/27/2016

B
Massachusetts 4/27/2016

B
Virginia 4/27/2016

B
Michigan 4/27/2016

B
Washington 4/27/2016

B
Minnesota 4/27/2016

B
West Virginia 4/27/2016

B
Mississippi 4/27/2016

B
Wisconsin 4/27/2016

B
Missouri 4/27/2016

B
Wyoming 4/27/2016

B
Montana 4/27/2016

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)
500 NEWPORT CTR DR, NEWPORT BEACH, CA 92660
Tustin, CA
Registered with this firm since 7/6/2015

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
500 NEWPORT CTR DR, NEWPORT BEACH, CA 92660
Tustin, CA
Registered with this firm since 6/9/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/24/2008 - 06/09/2015 SCOTTRADE, INC. (CRD#:8206) REDLANDS, CA
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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.