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Yun Hao
Jeannette Hao
CRD#: 6448725
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
PASADENA, CA 91101
0
Disclosures
10
Years of Experience
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State Registrations
B
California 11/25/2020
B
New Jersey 2/13/2024
IA
California 11/30/2020
B
New York 6/17/2021
B
Delaware 11/1/2021
B
North Carolina 5/17/2023
B
Maryland 6/19/2024
B
Washington 5/17/2024
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/30/2020
B
Registered with this firm since 11/25/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/19/2018 - 12/09/2020 | IRVINE, CA | |
B | 06/12/2018 - 12/09/2020 | IRVINE, CA | |
B | 03/03/2015 - 07/10/2018 | SAN GABRIEL, CA |
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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.