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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 2013-02-26
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2013-02-26
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • United States

Los Angeles, CA • United States

2049 Century Park E, Los Angeles, CA 90067 • 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 Boston MA 10/2009 Present
Previous Registrations
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Pasadena, CA
    Boston, MA
    Westlake Village, CA
    Los Angeles, CA
    Newport Beach, CA
    Westlake Village, CA
    Burlington, MA
    Pasadena, CA
    Boston, MA
    Pasadena, CA
    Burlington, MA
  • 2002-08-28 → 2004-10-20
    Quick & Reilly, Inc.
    Cambridge, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-08
  • S66 Uniform Combined State Law Examination
    2001-01-08

View on SEC IAPD

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