Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2001-01-26
CA RA APPROVED 2000-11-16
  • TX RA
    APPROVED_RES
    Since 2001-01-26
  • CA RA
    APPROVED
    Since 2000-11-16

Branch Locations

50 W San Fernando St, San Jose, CA 95113 • United States

560 S Winchester Blvd, San Jose, CA 95128 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Jose CA 07/2000 Present
Bank Of America, N.A. San Jose CA 05/2011 Present
Other Businesses

I*: 2540286Entity Type: Fiduciary roleName of OBA: M. B.Address: Los Gatos, CA 95032Investment Related: NoPosition, Title, Association: TrusteeEmployee Start Date: 6/11/2025Number of Hours: 10 hrs annuallyNumber of Hours during trading: 0Duties: Trustee for deceased mother I*2555298, Entity Type: , Name of OBA: T B TTEE U/A DTD 12/20/00 M F B, Address: Los Gatos, California, 95032, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 06/13/2025, No Hours: 10 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-19
  • S66 Uniform Combined State Law Examination
    2000-10-19

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in San Jose, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor