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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2010-09-21
  • CA RA
    APPROVED
    Since 2010-09-21

Branch Locations

12830 El Camino Real, San Diego, CA 92130 • United States

500 Newport Ctr Dr, Newport Beach, CA 92660 • 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 Sandiego CA 06/2010 Present
Bank Of America, N.A. San Diego CA 06/2011 Present
Other Businesses

BUSINESS TYPE: RESIDENTIAL REAL ESTATE PROPERTY USED FOR RENTAL INVESTMENT LOCATED IN SAN DIEGO, CA 92101 EFFECTIVE 08/30/2010 I*4836296, Entity Type: , Name of OBA: Rental Property - 07-Jul-26 - 1, Address: Fort Worth , Texas, 76109, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 09/01/2026, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: I*4839275, Entity Type: , Name of OBA: Rental Property - 07-Jul-26 - 2, Address: Fort Worth, Texas, 76109, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 09/01/2026, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-09-20
S63 Uniform Securities Agent State Law Examination 2001-01-31
  • S66 Uniform Combined State Law Examination
    2010-09-20
  • S63 Uniform Securities Agent State Law Examination
    2001-01-31

View on SEC IAPD

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