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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 2002-08-20
CA RA APPROVED 2002-07-11
  • TX RA
    APPROVED
    Since 2002-08-20
  • CA RA
    APPROVED
    Since 2002-07-11

Branch Locations

1331 N California Blvd, Walnut Creek, CA 94596 • 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 Oakland CA 03/2002 Present
Bank Of America, N.A. Oakland CA 09/2009 Present
Other Businesses

FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: TTEE DTD 08/21/2009 INVESTMENT RELATED: N ADDRESS OF BUSINESS: WALNUT CREEK, CALIFORNIA 94598 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 8/21/2009 NUMBER OF HOURS DEVOTED: 8 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A LEGAL TRUST THAT HOLDS OUR FAMILY ASSETS. I*963243 For profit or not for profit: Name of outside business organization: Alzheimer's Association Investment related: N Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , I help organize a local annual Alzheimer's fund raiser as part of their Longest Day campaign. I"1011319", Name of OBA: Rental Property 1, Address: WALNUT CREEK, California, Investment Related: N, Position, Title: Co-owner with other family members, Employee Start Date: 9/1/2022, No Hours: 2, Monthly No Hours: during trading: 0 Duties: N/A

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-07-10
  • S66 Uniform Combined State Law Examination
    2002-07-10

View on SEC IAPD

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