Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Youcheng Wu
Kevin Wu
CRD#: 7533902
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 730 NEW LOS ANGELES AVE
MOORPARK, CA 93021
Registration History
Oct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2023 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2022 - 2022 (<1 year)
License(s)

State Registrations

B
Arizona 2/10/2023
B
Oregon 2/10/2023
B
California 2/9/2023
B
Texas 2/10/2023
IA
California 2/9/2023
IA
Texas 2/14/2023
B
Florida 2/10/2023
B
Washington 2/10/2023
B
Nevada 2/10/2023

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)
730 NEW LOS ANGELES AVE, MOORPARK, CA 93021
Registered with this firm since 2/9/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
730 NEW LOS ANGELES AVE, MOORPARK, CA 93021
Registered with this firm since 2/9/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/22/2022 - 09/01/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.