Cary Koh, financial advisor Redwood City CA
89 score

Cary Koh

CRD Number: 6219811
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cary Koh (CRD# 6219811) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Redwood City, CA and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. San Mateo, CA Jan 2014 - Current 2
Merrill Lynch, Pierce, Fenner And Smith Incorporated San Mateo, CA Jun 2013 - Current 3
Bentley School Lafayette, CA May 2013 - Jun 2013 < 1
American Conservatory Theater San Francisco, CA Mar 2013 - May 2013 < 1
Unemployed Berkeley, CA Jan 2013 - Mar 2013 < 1
Cary Koh Berkeley, CA Jan 2003 - Jan 2013 10
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Cary T. Koh
Phone Number: 800-637-7455
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
89

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