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Cindy S Tong Goodman
CINDY S TONG, CINDY SUE TONG, Cindy Tong
CRD#: 6282788
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 701 B ST
San Diego, CA 92101
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2019 (3 years)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

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California 6/18/2019

IA
Texas 6/19/2019

IA
California 6/18/2019

SRO Registrations

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Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 B ST, San Diego, CA 92101
Registered with this firm since 6/18/2019

IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 B ST, San Diego, CA 92101
Registered with this firm since 6/18/2019

Previous Registration(s)
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05/10/2019 - 06/25/2019 BOFA SECURITIES, INC. (CRD#:283942) SANTA ROSA, CA
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05/10/2019 - 06/25/2019 BOFA SECURITIES, INC. (CRD#:283942) NEW YORK, NY
IA
09/09/2015 - 05/10/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SANTA ROSA, CA
B
06/09/2015 - 05/10/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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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.