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Daniel Anthony Cota

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dana Point, 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 2016-11-29
CA RA APPROVED 2016-11-28
  • TX RA
    APPROVED_RES
    Since 2016-11-29
  • CA RA
    APPROVED
    Since 2016-11-28

Branch Locations

32595 Golden Lantern St, Dana Point, CA 92629 • 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
Minnesota Life Insurance Co St Paul MN 07/2012 11/2016
Bank Of America, N.A. San Juan Capistrano CA 11/2016 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Juan Capistrano CA 11/2016 Present
Previous Registrations
  • 2012-08-08 → 2016-11-07
    Securian Financial Services, Inc.
    Newport Beach, CA
  • 2009-04-21 → 2012-07-23
    Pruco Securities, Llc.
    Irvine, CA
    Irvine, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-04-11
S63 Uniform Securities Agent State Law Examination 1996-08-29
  • S65 Uniform Investment Adviser Law Examination
    2009-04-11
  • S63 Uniform Securities Agent State Law Examination
    1996-08-29
Other Names
  • Daniel A Cota

View on SEC IAPD

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LIFE BY DESIGN INVESTMENT ADVISORY SERVICES · DANA POINT, CA
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