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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 2005-08-05
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2005-08-05
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

2301 Rosecrans Ave, El Segundo, CA 90245 • 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 Los Angeles CA 07/1996 Present
Bank Of America, N.A. Los Angeles CA 09/2009 Present
Other Businesses

I*126527 Entity Type: Non-Profit Organization Name: The Los Angeles World Affairs Council & Town Hall Investment related: No Address: Los Angeles, California 90266 Position, title, association: Committee Member, Start date of relationship: 9/20/2019 Number of hours devoted: 2 hours Monthly Number of hours devoted during trading hours: 1 hr mthly Duties: New Committee Assignment as Board Member. Duties, I am told, are policy and oversight, I*2137257, Entity Type: Charitable, Name: Orange County World Affairs Council Address: Irvine, California92612 Investment Related: No Position, Title, Association: Board Member Employee Start Date:12/23/2024 No Hours: 4 monthly No Hours during trading: 0 Duties: General Duties, Non-Profit Board Member I*: 2674305 Entity Type: Fiduciary role Name of OBA: A.B. A. Address: Manhattan Beach, CA 90266 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 07/31/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Power of Attorney for Child/Grandchild I*: 2675284 Entity Type: Fiduciary role Name of OBA: I. L. A. Address: Manhattan Beach, CA 90266 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 07/31/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Power of Attorney for Child/Grandchild

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-11-04
S65 Uniform Investment Adviser Law Examination 1996-11-04
  • S63 Uniform Securities Agent State Law Examination
    1996-11-04
  • S65 Uniform Investment Adviser Law Examination
    1996-11-04
Other Names
  • David G Adishian

View on SEC IAPD

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