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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2006-02-14
CA RA APPROVED 2001-03-29
  • TX RA
    APPROVED
    Since 2006-02-14
  • CA RA
    APPROVED
    Since 2001-03-29

Branch Locations

3255 W March Ln, Stockton, CA 95219 • United States

San Francisco, CA • 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 Stockton CA 12/2000 Present
Bank Of America, Na Stockton CA 08/2009 Present
  • 12/2000 → Present
    Merrill Lynch
    Stockton, CA
  • 08/2009 → Present
    Bank Of America, Na
    Stockton, CA
Other Businesses

I*2239341, Entity Type: , Name of OBA: L L, Address: San Francisco, California, 94118, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 14-Mar-2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties:I*2757294, Entity Type: , Name of OBA: C J L , Address: San Francisco, California, 94118, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/18/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2757305, Entity Type: , Name of OBA: C J L RRA FBO C J L, Address: San Francisco, California, 94118, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/18/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2757306, Entity Type: , Name of OBA: C J L, Address: San Francisco, California, 94118, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/18/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2757308, Entity Type: , Name of OBA: E S DCSD IRRA FBO C J L , Address: San Francisco, California, 94118, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/18/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:I*4513295Entity Type: N/AName of OBA: MLPF& S CUST FPO MRS L M L IRRA FBO MRS L M LAddress: San Francisco, California, 94118Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/30/2026Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: ParentsI*4513296Entity Type: N/AName of OBA: MLPF& S CUST FPO L M L IRA FBO L M LAddress: San Francisco, California, 94118Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/30/2026Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: ParentsI*4513297Entity Type: N/AName of OBA: P AND L L TTEES U/A DTD 06/14/1989 BY L FAMILY TRUSTAddress: San Francisco, California, 94118Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/30/2026Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: ParentsI*4513298Entity Type: N/AName of OBA: L & P L TTEES U/A DTD 06/14/1989 BY L FAMILY TRUSTAddress: San Francisco, California, 94118Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/30/2026Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: ParentsI*4513299Entity Type: N/AName of OBA: P & L L TTEES U/A DTD 06/14/1989 BY L FAMILY TRUSTAddress: San Francisco, California, 94118Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/30/2026Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: ParentsI*4513300Entity Type: N/AName of OBA: P & L L TTEES U/A DTD 06/14/1989 BY L FAMILY TRUSTAddress: San Francisco, California, 94118Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/30/2026Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: ParentsI*4514281Entity Type: N/AName of OBA: P A L ET AL TTEE U/A DTD 06/14/1989 BY P A LAddress: San Francisco, California, 94118Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/30/2026Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: Parents I*4603270 Name: L M L Address: San Francisco, CA Investment: No Association: POA Start Date: 5/21/26 Hours: 1, Monthly Hours during trading: 0, Monthly Duties: Child/Grandchild I*4604271 Name: MLPF& S CUST FPO MRS L M L IRRA FBO MRS L M L Address: San Francisco, CA Investment: No Association: POA Start Date: 5/21/26 Hours: 1, Monthly Hours during trading: 0, Monthly Duties: Child/Grandchild

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-03-23
  • S66 Uniform Combined State Law Examination
    2001-03-23

View on SEC IAPD

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