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Amy Qian No Longer Registered from Merrill Lynch

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
November 6, 2025 at 10:27pm

Amy Qian (CRD #: 6616389) voluntarily resigned from Merrill Lynch, Pierce, Fenner & Smith. This disclosure appears on her BrokerCheck record, accessed on November 6, 2025. Keep reading if you have questions concerning her alleged conduct.

Employment Separation After Allegations

On September 19, 2025, Amy Qian voluntarily resigned from Merrill Lynch following allegations that she engaged in conduct inconsistent with firm standards relating to servicing a client account.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Standards inconsistent with firm standards may violate this rule.

Background Information

Amy Qian has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination
  • Series 7TO General Securities Representative Examination

She is a registered broker and investment adviser in California and Texas.

Kurta Law Can Help

If you worked with Amy Qian and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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