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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 2016-11-04
CA RA APPROVED 2001-02-16
  • TX RA
    APPROVED_RES
    Since 2016-11-04
  • CA RA
    APPROVED
    Since 2001-02-16

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • 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 Pasadena CA 06/2000 Present
Bank Of America,Na Pasadena CA 08/2009 Present
  • 06/2000 → Present
    Merrill Lynch
    Pasadena, CA
  • 08/2009 → Present
    Bank Of America,Na
    Pasadena, CA
Other Businesses

FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: FAMILY INVESTMENT/LOANINVESTMENT RELATED: YADDRESS OF BUSINESS: N/ANATURE OF BUSINESS: FAMILY BUSINESS FIDUCIARY ROLE: NFIDUCIARY ROLE FOR FAMILY?: FIDUCIARY DETAILS: POSITION, TITLE, ASSOCIATION: POSITION DUTIES: I AM ALSO HELPING WITH THE COMMUNICATIONS WITH OUR BUILDER, ENGINEER, ARCHITECTS, BANKER, ACCOUNTANT, AND ATTORNEY'S.START DATE OF RELATIONSHIP: 2/1/2012NUMBER OF HOURS DEVOTED: 10 MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: MY PARENTS HAVE LAND IN THAILAND THAT THEY WANTED TO DEVELOP AND ASKED ME TO HELP THEM. I AGREED TO LEND MONEY AND HELP WITH COMMUNICATIONS.I*7835For profit or not for profit: Name of outside business organization: Pasadena Rental HouseInvestment related: Address of business:Pasadena, California 91104Nature of business: ,Position, title, association: , Start date of relationship: 4/1/2019Number of hours devoted: 10 hour(s) Number of hours devoted during trading hours: 0Duties: I*4521302 Entity Type: Entity For Profit Name of OBA: Coast Cards Address: Pasadena, California, 91104 Investment Related: No Position, Title, Association: Owner Employee Start Date: 05/05/2026 Number of Hours: 5, Weekly Number of Hours during trading: 0, Weekly Duties: Buying/selling/trading sports and Pokemon trading cards Attending conventions on weekends with my kids

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-07
  • S66 Uniform Combined State Law Examination
    2000-11-07

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