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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 2018-01-31
CA RA APPROVED 2017-08-01
  • TX RA
    APPROVED_RES
    Since 2018-01-31
  • CA RA
    APPROVED
    Since 2017-08-01

Branch Locations

101 S Rodeo Dr, Beverly Hills, CA 90212 • United States

Disclosures

1 disclosure category 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Beverly Hills CA 08/1992 Present
Bank Of America Los Angeles CA 08/2001 03/2017
Bank Of America, Na Beverly Hills CA 06/2017 Present
Other Businesses

I*113453For profit or not for profit: For-Profit OrganizationName of outside business organization: Attollo PropertiesInvestment related: NAddress of business:West Hollywood, California 90069Nature of business: Sole Proprietorship,Position, title, association: Owner, Start date of relationship: 3/29/2007Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: We created this DBA to collect rent for 2 condos in Dallas TX. I*786262For profit or not for profit: Name of outside business organization: VPSH LLCInvestment related: NAddress of business: West Hollywood, California, 90069Nature of business: ["Business or Industry Organization"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 8/21/2019Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Real estate income property in Dallas TX. I*1691256, Entity Type, Name of OBA: Rental Property 1 Address: Dallas, TX 75243 Investment Related: N Position, Title, Association: Sole owner Employee Start Date: 03/01/2007 No Hours: No Hours during trading: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-31
S63 Uniform Securities Agent State Law Examination 2003-06-09
  • S66 Uniform Combined State Law Examination
    2017-07-31
  • S63 Uniform Securities Agent State Law Examination
    2003-06-09

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