James Choe

CRD 2027504 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Princeton, NJ

IA RegisteredBroker

Also appears in the source record as: James Joon Choe

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 7Series 25Series 55Series 6Series 66Series 65Series 63
Registered states (13): Connecticut · Delaware · District Of Columbia · Florida · Maryland · Massachusetts · New Hampshire · New Jersey · New York · Pennsylvania · Rhode Island · Texas · Virginia
Years in the industry (source record): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (17)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Princeton, NJ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Princeton, NJ · BC capacity

start not retrieved → present
Dimension Securities, LLC
Red Bank, NJ · BC capacity

Nov 9, 2009 → Mar 5, 2010
Bear, Stearns & Co. Inc.
New York, NY · BC capacity

Feb 21, 2007 → Nov 20, 2007
Cuttone & Co., Inc.
New York, NY · BC capacity

Jun 1, 2005 → Feb 28, 2007
Evolution Financial Technologies, LLC
Iselin, NJ · BC capacity

Jan 4, 2005 → Jun 7, 2005
Hold Brothers On-Line Investment Services L.L.C.
New York, NY · BC capacity

Nov 28, 2003 → Jan 21, 2004
Assent LLC
Bolingbrook, IL · BC capacity

Mar 3, 2003 → Nov 10, 2003
Andover Brokerage, L.L.C.
Montebello, NY · BC capacity

Oct 12, 2001 → Mar 3, 2003
Schonfeld Securities, LLC
Jericho, NY · BC capacity

Jul 24, 2001 → Oct 18, 2001
Carlin Equities Corp.
New York, NY · BC capacity

May 28, 1999 → Nov 17, 1999
Oscar Gruss & Son, Incorporated
New York, NY · BC capacity

Aug 24, 1998 → Jan 27, 1999
A.B. Watley, Inc.
New York, NY · BC capacity

Feb 7, 1995 → Sep 23, 1996
Smith Barney Inc.
New York, NY · BC capacity

Mar 21, 1994 → Dec 20, 1994
Prime Capital Services, Inc.
Poughkeepsie, NY · BC capacity

Oct 15, 1992 → Feb 10, 1994
Metropolitan Life Insurance Company
New York, NY · BC capacity

Mar 5, 1991 → Jun 23, 1992
Metlife Securities Inc.
Springfield, MA · BC capacity

Mar 5, 1991 → Jun 23, 1992

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2027504 ↗ FINRA BrokerCheck record for CRD 2027504 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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