Haiqing Chen

CRD 7094350 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Jose, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSeries 6TOSIESeries 66Series 63
Registered states (7): Arizona · California · Florida · Nevada · Oregon · Texas · Washington
Years in the industry (source record): 6
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
San Jose, CA · IA capacity

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

start not retrieved → present
Park Avenue Securities LLC
Campbell, CA · IA capacity

Apr 18, 2024 → Oct 31, 2025
Park Avenue Securities LLC
Campbell, CA · BC capacity

Apr 18, 2024 → Oct 31, 2025
Mml Investors Services, LLC
San Jose, CA · IA capacity

Jan 30, 2023 → Mar 28, 2024
Mml Investors Services, LLC
San Jose, CA · BC capacity

Jan 27, 2023 → Mar 28, 2024
Eagle Strategies LLC
San Jose, CA · IA capacity

May 18, 2022 → Jan 30, 2023
Nylife Securities LLC
San Jose, CA · BC capacity

Oct 1, 2019 → Jan 30, 2023

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 7094350 ↗ FINRA BrokerCheck record for CRD 7094350 ↗ 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.