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Misty MISTY Matsuba-Lee
MISTY MATSUBA, MAIKO MATSUBA LEE, MAIKO MISTY MATSUBA-LEE, MISTY MATSUBA-LEE
CRD#: 6387318
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
SAN FRANCISCO, CA 94104
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - Present (8 years)
Disclosure(s)
View By:
6/18/1996
Criminal
Final Disposition
License(s)

State Registrations

IA
California 3/29/2016

B
California 3/30/2016

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

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Learn about permitted activities of registered representatives

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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)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 3/29/2016

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 3/29/2016

Previous Registration(s)
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IA
06/25/2015 - 02/10/2016 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
02/11/2015 - 02/10/2016 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, 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.