This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Current firm class

wirehousederived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Nov 1, 2014earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

May 5, 2015

First registration

Nov 17, 2017

Dual registered

yes, broker-dealer

Other names

JACQUELINE CHEN

IAPD individual key

6479175

• Occurred

  Jan 19, 2023
  Advisor changed firm

  Yan Chen left Transamerica Financial Advisors, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-01-20)

  Form ADVobserved 3 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:6eedf4aa-7406-d64b-9c38-27dabae45b90

First observed

Nov 17, 2017

Last observed

Sep 15, 2026 4 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.