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Detailed Report
David Yancheng Wang
David Wang, Yancheng Wang
CRD#: 7038967
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 45 WILLIAM ST
WELLESLEY HILLS, MA 02481
Registration History
201920202021202220232024202520262 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - 2023 (2 years)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
California 4/3/2023
B
New Hampshire 4/3/2023
B
Connecticut 4/3/2023
B
New Jersey 4/3/2023
IA
Connecticut 4/4/2023
B
New York 4/3/2023
B
District of Columbia 4/3/2023
B
North Carolina 4/3/2023
B
Florida 4/3/2023
B
Pennsylvania 4/3/2023
B
Idaho 4/3/2023
B
Rhode Island 4/3/2023
B
Indiana 4/3/2023
B
Texas 4/3/2023
B
Louisiana 4/3/2023
IA
Texas 4/3/2023
B
Maine 4/3/2023
B
Vermont 4/3/2023
B
Maryland 4/3/2023
B
Virginia 4/3/2023
B
Massachusetts 4/3/2023
B
Washington 4/3/2023
B
Nevada 4/3/2023

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)
45 WILLIAM ST, WELLESLEY HILLS, MA 02481
Registered with this firm since 4/3/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
45 WILLIAM ST, WELLESLEY HILLS, MA 02481
Registered with this firm since 4/3/2023
Previous Registration(s)
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IA
 12/01/2020 - 04/04/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) Boston, MA
B
 12/01/2020 - 04/04/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) Boston, MA
IA
 02/11/2019 - 11/12/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WELLESLEY HILLS, MA
B
 01/05/2019 - 11/12/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WELLESLEY HILLS, MA
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.