Sophat Heng

CRD 6788073 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Rolling Hills Estates, CA

IA RegisteredBroker

Also appears in the source record as: Pat Heng

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (31): Alabama · Arizona · California · Colorado · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Kansas · Maine · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington
Years in the industry (source record): 8
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Rolling Hills Estates, CA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Rolling Hills Estates, CA · BC capacity

start not retrieved → present
Morgan Stanley
Long Beach, CA · IA capacity

Jul 30, 2021 → Jun 19, 2026
Morgan Stanley
Long Beach, CA · BC capacity

Jul 30, 2021 → Jun 19, 2026
T. Rowe Price Advisory Services, Inc.
Colorado Springs, CO · IA capacity

Apr 11, 2019 → Jun 7, 2021
T. Rowe Price Investment Services, Inc.
Colorado Springs, CO · BC capacity

Apr 11, 2019 → Jun 7, 2021
First Command Advisory Services
Colorado Springs, CO · IA capacity

Oct 12, 2017 → Mar 18, 2019
First Command Financial Planning, Inc.
Colorado Springs, CO · BC capacity

Jul 28, 2017 → Mar 18, 2019

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 6788073 ↗ FINRA BrokerCheck record for CRD 6788073 ↗ 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.