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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 2011-05-12
CA RA APPROVED 2009-01-16
  • TX RA
    APPROVED_RES
    Since 2011-05-12
  • CA RA
    APPROVED
    Since 2009-01-16

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • 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 : 7691 Pasadena CA 01/2009 Present
Bank Of America, Na Pasadena CA 08/2009 Present
  • 01/2009 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Pasadena, CA
  • 08/2009 → Present
    Bank Of America, Na
    Pasadena, CA
Previous Registrations
  • 2007-04-02 → 2009-02-12
    Morgan Stanley & Co. Llc
    Los Angeles, CA
  • 2003-02-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Los Angeles, CA
    Los Angeles, CA
  • 2002-08-02 → 2002-08-27
    Monterey Park , CA
Other Businesses

I*36415FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: VOSS PROPERTIES, LLCINVESTMENT RELATED: NADDRESS OF BUSINESS: PASADENA, CALIFORNIA 91107NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 11/01/2010NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RENTAL PROPERTIES INVESTMENT, MY HUSBAND PERSONALLY HANDLES THE PROPERTY MANAGEMENT.I*2901267Entity Type: CharitableName of OBA: Fried Music FoundationAddress:Alhambra CaliforniaInvestment Related:NoPosition, Title, Association:Board MemberStart Date:10/01/2025No Hours: 8 YearlyNo Hours during trading:0 YearlyDuties:Provide music education and scholarships for children I*4512265 Entity Type: N/A Name of OBA: Y M T TTEE F T TTEE U/A DTD 12/18/2009 Address: Pasadena, California, 91107 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 04/29/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Self, Spouse

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-07-15
  • S66 Uniform Combined State Law Examination
    2002-07-15
Other Names
  • Marlynn Ma

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