Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-09-27
CA RA APPROVED 2010-04-27
TX RA APPROVED_RES 2004-06-10
  • CO RA
    APPROVED
    Since 2023-09-27
  • CA RA
    APPROVED
    Since 2010-04-27
  • TX RA
    APPROVED_RES
    Since 2004-06-10

Branch Locations

1331 N California Blvd, Walnut Creek, CA 94596 • United States

370 17Th St, Denver, CO 80202 • 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 Walnut Creek CA 07/1999 Present
Bank Of America, N.A. Walnut Creek CA 08/2014 Present
Other Businesses

I*1163267, Entity Type: Entity For Profit, Name of OBA: Rental Property 1, Address: San Francisco, California 94107, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 02/01/2023, No Hours: 5, No Hours during trading: 0, Duties: Owner of Rental Property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-14
  • S66 Uniform Combined State Law Examination
    2000-08-14

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Walnut Creek, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor