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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2013-08-07
CA RA APPROVED 2012-09-10
TX RA APPROVED 2012-09-07
  • GA RA
    APPROVED
    Since 2013-08-07
  • CA RA
    APPROVED
    Since 2012-09-10
  • TX RA
    APPROVED
    Since 2012-09-07

Branch Locations

555 California St Pbig - San Francisco, San Francisco, CA 94104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 09/2012 Present
Bank Of America, N.A. San Francisco CA 11/2012 Present
Previous Registrations
  • 2009-05-19 → 2012-12-04
    Credit Suisse Securities (Usa) Llc
    San Francisco, CA
  • 2002-07-25 → 2009-06-10
    San Francisco, CA
    San Francisco, CA
  • 2000-06-23 → 2002-08-27
    Robertson Stephens, Inc.
    Sfo, CA
Other Businesses

I*62621For profit or not for profit: Non-Profit OrganizationName of outside business organization: TrustInvestment related: YAddress of business: New York, New York 10001Nature of business: Trust,Position, title, association: Trustee, Start date of relationship: 4/23/2013Number of hours devoted: 10 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: I am to be co-trustee of the trust for long time family friend should her parents pass away, I will be trustee with her brother. I*3133283, Entity Type, Name of OBA: Daddy Issues Rock and Roll dad bandAddress:san franciscoCalifornia94109 Investment Related: No Position, Title, Association: Band Employee Start Date: 11/06/2025No Hours: 5 monthly No Hours during trading: 0 Duties:Play guitar and book gigs. We are a band that plays music. This is purely a hobby that will generate revenue on occasion--all of which will likely go toward purchasing equipment

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-05-19
S63 Uniform Securities Agent State Law Examination 1989-02-06
  • S66 Uniform Combined State Law Examination
    2000-05-19
  • S63 Uniform Securities Agent State Law Examination
    1989-02-06
Other Names
  • John Paul Shuhda

View on SEC IAPD

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