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Ka Eun Lee

CRD 4614565  ·  Merrill Lynch, Pierce, Fenner & Smith Incorporated  ·  Cupertino, CA

IA RegisteredBroker

Also appears in the source record as: Ka Eun Ban; Karen Ban; Ka Eun Lee; Karen B Lee; Karen Lee; Kaeun Lee

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration
Active
Investment adviser registration
Active
Exams passed (8)
Series 7TOSIESeries 31Series 7Series 6Series 66Series 65Series 63
Registered states (7)
Arizona · California · Florida · Nevada · Oregon · Texas · Washington
Years in the industry (source record)
14
Professional designations
Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4614565 contains one or more disclosure events as of Aug 20, 2026.

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FINRA BrokerCheck ↗  ·  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 (20)

From the source registration record · current first

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 4614565 ↗ FINRA BrokerCheck record for CRD 4614565 ↗ 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 Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.