Robert Chengchi Ku

CRD 2367992 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Mount Laurel, NJ

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 10Series 9SIESeries 7
Registered states (38): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Kentucky · Maine · Maryland · Massachusetts · Michigan · Minnesota · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · Wisconsin
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2367992 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 (10)

From the source registration record · current first

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

Oct 23, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Mount Laurel, NJ · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
BD capacity

Oct 20, 2004 → Oct 23, 2009
Banc Of America Investment Services, Inc.
IA capacity

Oct 20, 2004 → Oct 23, 2009
Quick & Reilly, Inc.
IA capacity

Sep 9, 2002 → Oct 20, 2004
Quick & Reilly, Inc.
BD capacity

Apr 25, 2001 → Oct 20, 2004
Summit Financial Services Group, Inc.
BD capacity

Oct 21, 1998 → Apr 25, 2001
Fiserv Investor Services, Inc.
BD capacity

Oct 1, 1997 → Oct 21, 1998
Vtr Capital, Inc.
BD capacity

Nov 10, 1995 → Jun 18, 1997
L.C. Wegard & Co., Inc.
BD capacity

Aug 20, 1993 → Nov 9, 1995

Source & corrections

Where this page comes from

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