Angel Kam Fung Chen

CRD 3226538 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Palo Alto, CA

IA RegisteredBroker

Also appears in the source record as: Angel K Chen; Angel Kam Chen; Angel Chen

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 52TOSIESeries 7Series 9Series 10Series 53Series 24Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 22
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 (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Palo Alto, CA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Palo Alto, CA · BC capacity

start not retrieved → present
Citigroup Global Markets Inc.
San Francisco, CA · IA capacity

Jul 14, 2016 → Sep 16, 2019
Citigroup Global Markets Inc.
San Francisco, CA · BC capacity

Jul 14, 2016 → Sep 16, 2019
Ubs Financial Services Inc.
San Francisco, CA · IA capacity

Sep 5, 2013 → Jul 25, 2016
Ubs Financial Services Inc.
San Francisco, CA · BC capacity

Sep 5, 2013 → Jul 25, 2016
(Dba) Lyon Quest Asset Management
Santa Clara, CA · IA capacity

Oct 29, 2009 → Aug 22, 2011
Kw Securities Corporation
Smithtown, NY · BC capacity

Jun 5, 2009 → Apr 6, 2010
Redwood Securities Group, Inc.
San Francisco, CA · IA capacity

Feb 14, 2008 → Mar 19, 2008
Redwood Securities Group, Inc.
San Francisco, CA · BC capacity

Feb 14, 2008 → Mar 19, 2008
Ucb Investment Services, Inc.
Sf, CA · IA capacity

Oct 20, 2003 → Aug 4, 2005
Ucb Investment Services, Inc.
Monterey Park, CA · BC capacity

Aug 5, 2003 → Aug 4, 2005
United Securities Alliance, Inc.
Greenwood Village, CO · BC capacity

Feb 8, 2000 → May 19, 2000

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 3226538 ↗ FINRA BrokerCheck record for CRD 3226538 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.