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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 2009-07-16
CA RA APPROVED 1999-05-11
  • TX RA
    APPROVED_RES
    Since 2009-07-16
  • CA RA
    APPROVED
    Since 1999-05-11

Branch Locations

608 Silver Spur Rd, Rolling Hills Estates, CA 90274 • 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 02/1999 Present
Bank Of America, N.A. Los Angeles CA 09/2009 Present
Other Businesses

I*2152264, Entity Type: , Name of OBA: MLPF& S CUST FPO D R H IRRA FBO D R H , Address: San Francisco, California, 94118, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 06-Jan-2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties: I*2591298, Entity Type, Name of OBA:MLPF& S CUST FPO D R HIRRA FBO D R H Address:San FranciscoCalifornia94118, Investment Related:no Position, Title, Association:Successor Trustee, Employee Start Date:07/02/2025 No Hours: 0No Hours during trading: 0Duties: I*2593274, Entity Type, Name of OBA: D H TTEE U/A DTD 03/13/1992 D H TRUST FranciscoCalifornia94118, Investment Related:no Position, Title, Association:Successor Trustee, Employee Start Date:07/02/2025 No Hours: 0No Hours during trading: 0Duties: I*2600304, Entity Type: , Name of OBA: MLPF& S CUST FPO A H IRRA FBO A H , Address: Rancho Palos Verdes, California, 90275, Investment Related: N, Position, Title, Association: Administrator, Employee State Date: 02-Jul-2025, No Hours: 1 Yearly, No Hours during Trading: 1 Yearly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-21
S63 Uniform Securities Agent State Law Examination 1997-05-27
  • S65 Uniform Investment Adviser Law Examination
    1999-04-21
  • S63 Uniform Securities Agent State Law Examination
    1997-05-27

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