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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 2021-03-18
CA RA APPROVED 2012-05-09
  • TX RA
    APPROVED_RES
    Since 2021-03-18
  • CA RA
    APPROVED
    Since 2012-05-09

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
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Diego CA 03/2012 Present
Bank Of America, N.A. San Diego CA 04/2012 Present
Previous Registrations
  • 2004-12-06 → 2005-02-02
    Ifmg Securities, Inc.
    San Diego, CA
Other Businesses

I*808231For profit or not for profit: Name of outside business organization: Rental Property 2Investment related: NAddress of business: Scottsdale, Arizona, 85251Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 4/15/2022Number of hours devoted: 3 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , I*808232For profit or not for profit: Name of outside business organization: Rental Property 3Investment related: NAddress of business: Scottsdale, Arizona, 85251Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 4/15/2022Number of hours devoted: 2 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , I*810237For profit or not for profit: Name of outside business organization: Rental Property 4Investment related: NAddress of business: Scottsdale, Arizona, 85257Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 5/1/2022Number of hours devoted: 2 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , I*810238For profit or not for profit: Name of outside business organization: Rental Property 5Investment related: NAddress of business: Scottsdale, Arizona, 85251Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 4/12/2022Number of hours devoted: 4 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , I*1072252For profit or not for profit: Name of outside business organization: Rental Property 6Investment related: YAddress of business: Roseburg, Oregon, 97470Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/15/2022Number of hours devoted: 10 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , I*503938For profit or not for profit: Name of outside business organization: Dias Family TrustInvestment related: NAddress of business: Scottsdale, Arizona, 85251Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 3/1/2020Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-10
  • S66 Uniform Combined State Law Examination
    2003-12-10
Other Names
  • Steven Raymond Dias

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