Nick Givogri

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-12-19
CA	RA	APPROVED	1998-10-16

TX RA
APPROVED_RES

Since 2011-12-19
CA RA
APPROVED

Since 1998-10-16

Branch Locations

194 Wood Ave S, Iselin, NJ 08830 • United States

520 Newport Center Dr, Newport Beach, CA 92660 • United States

Coto De Caza, CA • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Newport Beach	CA	07/1997	Present

07/1997 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

Other Businesses

I*: 2873267 Entity Type: For Profit Name of OBA: XXXX San Pablo Dam Road Address: El Sobrante, CA 94803 Investment Related: No Position, Title, Association: Promissory note holder Employee Start Date: 09/01/2025 Number of Hours: 1 hr annually Number of Hours during trading: 0 Duties: Disclosing ownership in the property.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-09-28

S66 Uniform Combined State Law Examination

1998-09-28

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Firms

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