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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 2009-10-23
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

2049 Century Park E, Los Angeles, CA 90067 • 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
Bank Of America, N.A. Los Angeles CA 06/2006 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 10/2009 Present
Previous Registrations
  • 2006-09-15 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
Other Businesses

I*75555 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FARHANG FOUNDATION INVESTMENT RELATED: NO ADDRESS OF BUSINESS: TORRANCE, CALIFORNIA 90505 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 10/1/2014 NUMBER OF HOURS DEVOTED: 1 HOUR MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I AM A PART OF THE PATRONS COUNCIL. MY ROLE AND RESPONSIBILITY ARE LIMITED TO HELP THE FOUNDATION RAISE FUNDS. I WILL NOT HAVE ACCESS TO THEIR MONEY/NOR DO I MAKE ANY DECISIONS WITH THE FUNDS. I*9348 For profit or not for profit: Name of outside business organization: Rental Investment related: Address of business: Los Angeles, California 90049 Nature of business: Position, title, association: , Start date of relationship: 2/21/2020 Number of hours devoted: 2 hours Number of hours devoted during trading hours: 0 Duties: I*131638 For profit or not for profit: For-Profit Organization Name of outside business organization: 1504 S Carmona Ave LA CA 90019 Investment related: Y Address of business: Los Angeles, California 90049 Nature of business: LLC, Position, title, association: Other, LLC Manager Start date of relationship: 6/9/2020 Number of hours devoted: 2 hours Monthly Number of hours devoted during trading hours: 0 Duties: A new LLC was formed to hold this property. I*448478 Entity Type: For Profit Name of OBA: BenEmi Real Estate, LLC Address: Los Angeles, California, 90049 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 01/04/2021 Number of Hours: 0.33, Monthly Number of Hours during trading: 0 Duties: Family Wealth Vehicle manage my families investment

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-14
S63 Uniform Securities Agent State Law Examination 2003-03-10
  • S66 Uniform Combined State Law Examination
    2006-09-14
  • S63 Uniform Securities Agent State Law Examination
    2003-03-10
Other Names
  • Fariborz Avi Cohen
  • Avi Aka Fariborz Cohen

View on SEC IAPD

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