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Ariel T Agustin

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sacramento, CA

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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 2015-01-27
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2015-01-27
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

555 Capitol Mall, Sacramento, CA 95814 • 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 Sacramento CA 10/2009 Present
Bank Of America, N.A. Sacramento CA 06/2011 Present
Previous Registrations
  • 2008-10-06 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Roseville, CA
    Sacramento, CA
  • 2007-05-29 → 2008-10-20
    Citigroup Global Markets Inc.
    Sacramento, CA
  • 2003-05-16 → 2007-05-29
    Citicorp Investment Services
    Sacramento, CA
    Sacramento, CA
  • 2002-07-19 → 2003-04-14
    Morgan Stanley Dw Inc.
    Sacramento, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-28
  • S66 Uniform Combined State Law Examination
    2002-06-28
Other Names
  • Ariel Tolentino Agustin

View on SEC IAPD

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GUANILL WEALTH MANAGEMENT · SACRAMENTO, CA
ENDEAVOR FINANCIAL PLANNING · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SACRAMENTO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
ROBERT W. BAIRD & CO. INCORPORATED · SACRAMENTO, CA

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