King Kwok Wong

CRD 1901491 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Jose, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 65Series 63SIESeries 7
Registered states (4): California · New York · Texas · Washington
Years in the industry (source record): 38
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1901491 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Jose, CA · IA capacity

Feb 23, 2012 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Jose, CA · BC capacity

start not retrieved → present
Whitehall-Parker Securities, Inc.
BD capacity

Mar 25, 2008 → Aug 12, 2010
Edward Jones
BD capacity

Oct 1, 2001 → Apr 13, 2006
Banc Of America Investment Services, Inc.
BD capacity

Jul 12, 1999 → Oct 2, 2001
Ba Investment Services, Inc.
BD capacity

Mar 5, 1996 → Jul 12, 1999
Citicorp Investment Services
BD capacity

Jul 16, 1993 → Feb 29, 1996
Charles Schwab & Co., Inc.
BD capacity

Jan 10, 1992 → Oct 7, 1992
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 4, 1991 → Dec 20, 1991
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 10, 1990 → Jul 31, 1991
J. W. Gant & Associates, Inc.
BD capacity

Dec 19, 1989 → Jul 11, 1990
F.D. Roberts Securities, Inc.
BD capacity

Dec 20, 1988 → Oct 2, 1989

Source & corrections

Where this page comes from

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