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Detailed Report
Marvin J Tsao
Marvin Tsao
CRD#: 7391237
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
Oct2023AprJulOct2024AprJulOct2025AprJulOct2026Apr2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
California 9/28/2023
B
New Hampshire 11/28/2023
IA
California 9/28/2023
B
New Jersey 11/28/2023
B
District of Columbia 11/28/2023
B
New York 11/28/2023
B
Florida 11/28/2023
B
North Carolina 11/28/2023
B
Illinois 11/28/2023
B
Oklahoma 6/27/2024
B
Indiana 11/28/2023
B
Pennsylvania 11/28/2023
B
Massachusetts 11/28/2023
B
Texas 11/28/2023
B
Missouri 11/28/2023
IA
Texas 11/29/2023
B
Nevada 11/28/2023
B
Washington 11/28/2023

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)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 9/28/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 8/28/2023
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.