Kevin W Chau

CRD 2414571 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Kevin Chau; Wai Keung Chau; Wai Keung Chau; Waikeung Chau

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (35): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Iowa · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · Wyoming
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2414571 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
New York, NY · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Morgan Stanley Smith Barney
New York, NY · BC capacity

Jun 1, 2009 → Dec 1, 2009
Citigroup Global Markets Inc.
Staten Island, NY · BC capacity

Aug 10, 2001 → Jun 1, 2009
Ubs Painewebber Inc.
Weehawken, NJ · BC capacity

Sep 1, 1998 → Aug 31, 2001
First Asset Management, Inc.
BC capacity

Jun 12, 1996 → Aug 28, 1998
First Hanover Securities, Inc.
Staten Island, NY · BC capacity

Nov 15, 1994 → Apr 13, 1995
Euro-Atlantic Securities Inc.
Boca Raton, FL · BC capacity

Mar 8, 1995 → Mar 30, 1995
Greenway Capital Corp.
New York City, NY · BC capacity

Sep 30, 1994 → Nov 17, 1994
Barrett Day Securities, Inc.
New York, NY · BC capacity

Jan 14, 1994 → Oct 4, 1994

Source & corrections

Where this page comes from

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