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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2007-08-10
  • CA RA
    APPROVED
    Since 2007-08-10

Branch Locations

5260 N Palm Ave, Fresno, CA 93704 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fresno CA 08/2007 Present
Bank Of America, Na Fresno CA 09/2009 Present
Previous Registrations
Other Businesses

I*495111 For profit or not for profit: Name of outside business organization: Rental Property Investment related: N Address of business: Fresno, California, 93701 Nature of business: Position, title, association: Sole owner, Start date of relationship: 10/19/2016 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*1204347 For profit or not for profit: Entity For Profit Name of outside business organization: Paragon and Associates Investment Trust Investment related: N Address of business: Fresno, California, 93701 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 3/20/2023 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , To buy, sell and hold rental properties. I*1217260 For profit or not for profit: Entity For Profit Name of outside business organization: Paragon and Associates Investment Trust Investment related: N Address of business: Fresno, California, 93701 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 3/17/2023 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Real estate investment. I am the sole trustee of the trust.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-12-17
S65 Uniform Investment Adviser Law Examination 1999-12-17
  • S63 Uniform Securities Agent State Law Examination
    1999-12-17
  • S65 Uniform Investment Adviser Law Examination
    1999-12-17
Other Names
  • Melaney Friesen Shaum

View on SEC IAPD

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