Ken Zhang

CRD 4458320 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Jose, CA

IA RegisteredBroker

Also appears in the source record as: Ken Shuguang; Shuguang Zhang

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (8): Arizona · California · Florida · Kentucky · Nevada · Oregon · Texas · Washington
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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Jose, CA · IA capacity

May 8, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Jose, CA · BC capacity

start not retrieved → present
Scottrade Investment Management
IA capacity

Jan 27, 2017 → Mar 9, 2018
Scottrade, Inc.
BD capacity

May 26, 2016 → Mar 9, 2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Feb 23, 2016 → May 23, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jan 22, 2016 → May 23, 2016
Scottrade, Inc.
BD capacity

May 27, 2003 → Jan 29, 2016
H.D. Vest Advisory Services, Inc
IA capacity

Feb 26, 2002 → May 30, 2003
H.D. Vest Investment Services
BD capacity

Jan 24, 2002 → May 23, 2003
Quest Capital Strategies, Inc.
BD capacity

Nov 7, 2001 → Jan 18, 2002

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4458320 ↗ FINRA BrokerCheck record for CRD 4458320 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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