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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_RES 2005-01-06
CA RA APPROVED 2002-03-22
  • TX RA
    APPROVED_RES
    Since 2005-01-06
  • CA RA
    APPROVED
    Since 2002-03-22

Branch Locations

50 W San Fernando St, San Jose, CA 95113 • 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 San Jose CA 10/2002 Present
Bank Of America,Na San Jose CA 08/2009 Present
  • 10/2002 → Present
    Merrill Lynch Pierce Fenner & Smith
    San Jose, CA
  • 08/2009 → Present
    Bank Of America,Na
    San Jose, CA
Other Businesses

I*9785For profit or not for profit: Name of outside business organization: Rental propertyInvestment related: Address of business:Campbell, California 95008Nature of business: ,Position, title, association: , Start date of relationship: 8/8/2020Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0Duties:I*2087277, Entity Type: Fiduciary, Name of OBA: MLPF& S CUST FPO S L RRA FBO S L, Address: Cary, North Carolina, 27513, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 15-Nov-2024, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:I*2114295, Entity Type: Fiduciary, Name of OBA: S L TTEE U/A DTD 08/20/2024 BY S L , Address: Cary, North Carolina, 27513, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 12/02/2024, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:I*2186279, Entity Type: , Name of OBA: S R L, Address: Cary , North Carolina, 27513, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 05-Feb-2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:I*2723281, Entity Type, Name of OBA: MLPF& S CUST FPO S V L RRA FBO S V L Address: caryNorth Carolina27513 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 08/12/2025No Hours: 1 yearly No Hours during trading:0 Duties: I*4717313 Entity Type: N/A Name of OBA: R T TOD BENEFICIARIES ON FILE Address: Saratoga, California, 95070 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/16/2026 Number of Hours: 1, Yearly Number of Hours during trading: 1, Yearly Duties: Child/Grandchild

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-20
  • S66 Uniform Combined State Law Examination
    2002-03-20

View on SEC IAPD

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