Dennis Hsiao

CRD 2349006 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

Broker

Also appears in the source record as: Dennis L Hsiao; Dennis Li Kao Hsiao; Dennis Likao Hsiao

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (5): Series 99TOSIESeries 7Series 24Series 63
Registered states (1): Florida
Years in the industry (source record): 26
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Deutsche Bank Securities Inc.
Jacksonville, FL · BC capacity

May 23, 2016 → May 26, 2021
Citigroup Global Markets Inc.
New York, NY · BC capacity

Nov 7, 2013 → Aug 14, 2015
J.P. Morgan Clearing Corp.
Brooklyn, NY · BC capacity

Jan 2, 2009 → Jan 17, 2012
J.P.Morgan Securities Inc.
Brooklyn, NY · BC capacity

Mar 15, 2006 → Dec 31, 2008
Pershing LLC
Jersey City, NJ · BC capacity

Jul 13, 2004 → Feb 9, 2006
National Discount Brokers
Omaha, NE · BC capacity

May 11, 1996 → Apr 28, 1999
Lew Lieberbaum & Co., Inc.
Garden City, NY · BC capacity

Feb 4, 1994 → Aug 19, 1994
South Richmond Securities, Inc.
BC capacity

Sep 10, 1993 → Feb 16, 1994

Source & corrections

Where this page comes from

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