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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 2015-02-09
TX RA APPROVED_RES 2015-02-09
  • CA RA
    APPROVED
    Since 2015-02-09
  • TX RA
    APPROVED_RES
    Since 2015-02-09

Branch Locations

2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States

Studio City, CA • 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 Los Angeles CA 02/2015 Present
Bank Of America, N.A. Los Angeles CA 02/2015 Present
Previous Registrations
Other Businesses

I*4524274 Entity Type: For Profit Name of OBA: J. J. and J. LLC Address: Sherman oaks, California, 91403 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 04/01/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Creating a CA based LLC based on recommendation from CPA, to hold external private investments, including real estate. Check writing will be in a bank account to pay various expenses. I am the sole member of the LLC. My Prior LLC Geneva Roth was closed down, this replaces. single member LLC, to hold passive investments, generally real estate.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-28
  • S66 Uniform Combined State Law Examination
    2002-03-28
Other Names
  • John Gregory Paffendorf

View on SEC IAPD

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