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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 2013-03-22
CA RA APPROVED 2009-10-20
  • TX RA
    APPROVED_RES
    Since 2013-03-22
  • CA RA
    APPROVED
    Since 2009-10-20

Branch Locations

3550 Vine St, Riverside, CA 92507 • 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 Ontario CA 11/2008 Present
Bank Of America, N.A. Ontario CA 12/2009 Present
Other Businesses

I*4171267, Entity Type: Entity For Profit, Name of OBA: SAWDUST WOODWORK & DESIGN CO., Address: RIVERSIDE, California, 92504, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 03/27/2026, No Hours: 10 Weekly, No Hours during Trading: 0 Weekly, Duties: I MAKE THE CUTTINGBORDS...MY WIFE DOES EVERYTHING ELSE. THE PURPOSE IS TO SELL CUTTINGBOARDS THAT I MAKE. I*4748277, Entity Type: Entity Charitable, Name of OBA: RIVERSIDE ELKS LODGE #643, Address: RIVERSIDE, California, 92506, Investment Related: N, Position, Title, Association: ["Committee","Director"], Employee Start Date: 06/22/2026, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties: ASSIST WITH CALENDERING AND GETTING PEOPLE TO COME TO FUNDRAISERS. HELP WITH SET UP ON DAY OF EVENTS. USE LOCAL PRINTER TO CREATE TICKETS AND FLYERS. THE RIVERSIDE ELKS LODGE GOLF CLUB COMMITTEE MEMBERS ORGANIZE MONTHLY GOLF OUTINGS FOR MEMBERS. WE ALSO HAVE FUNDRAISERS FOR VARIOUS CHARITIES AND FOR MAINTENANCE OF THE LODGE. FUNDRAISERS INCLUDE DINNERS, GOLF TOURNAMENTS, RAFFLES AND BUS TRIPS. I*4748279, Entity Type: , Name of OBA: KNIGHTS OF COLUMBUS, #4973, Address: JURUPA VALLEY, California, 91752, Investment Related: N, Position, Title, Association: , Employee Start Date: 06/22/2026, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties: ATTEND MONTHLY MEMBER MEETINGS. HELP WITH SETTING UP FOR EVENTS THE DAY OF. ASSIST WITH VARIOUS CHURCH EVENTS AND DINNERS CATHOLIC FRATERNAL SERVICE ORGANIZATION DEDICATED TO CHARITY, FRATERNITY, AND PATRIOTISM. THE ORGANIZATION SUPPORTS LOCAL COMMUNITIES THROUGH CHARITIBLE FUNDRAISING AND VOLUNTEER SERVICE I*4745318, Entity Type: , Name of OBA: GREATER RIVERSIDE CHAMBER OF COMMERCE, Address: RIVERSIDE, California, 92501, Investment Related: N, Position, Title, Association: ["Committee"], Employee Start Date: 01/01/2026, No Hours: 4 Weekly, No Hours during Trading: 0 Weekly, Duties: HELP SET UP MEETING AT VARIOUS LOCATIONS. ATTEND GRAND OPENINGS AND HELP WITH PARKING, EVENT SET UP, ETC. ASSIST WITH QUESTIONS OR NEEDS NEW MEMBERS HAVE. AMBASSADOR FOR THE CHAMBER. HELP WITH GRQND OPENINGS AND MONTHLY MEETINGS. ASSIST NEW MEMBERS AT CHAMBER MEETINGS WITH QUESTIONS ABOUT THE CHAMBER. I USE THE CHAMBER AS A NETWORKING GROUP.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-10-16
S63 Uniform Securities Agent State Law Examination 2000-11-03
  • S66 Uniform Combined State Law Examination
    2009-10-16
  • S63 Uniform Securities Agent State Law Examination
    2000-11-03
Other Names
  • Michael Anthony Sepulveda

View on SEC IAPD

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