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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 2019-06-17
TX RA APPROVED_RES 2019-06-17
  • CA RA
    APPROVED
    Since 2019-06-17
  • TX RA
    APPROVED_RES
    Since 2019-06-17

Branch Locations

5959 Canoga Ave, Woodland Hills, CA 91367 • United States

22828 Victory Blvd, Woodland Hills, CA 91367 • 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
Transamerica Financial Advisors, Inc Calabasas CA 07/2015 05/2019
World Financial Group, Inc. Calabasas CA 07/2015 05/2019
Business Improvement Services Woodland Hills CA 05/2017 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 06/2019 Present
Bank Of America, N.A. Los Angeles CA 06/2019 Present
  • 07/2015 → 05/2019
    Transamerica Financial Advisors, Inc
    Calabasas, CA
  • 07/2015 → 05/2019
    World Financial Group, Inc.
    Calabasas, CA
  • 05/2017 → Present
    Business Improvement Services
    Woodland Hills, CA
  • 06/2019 → Present
    Los Angeles, CA
  • 06/2019 → Present
    Bank Of America, N.A.
    Los Angeles, CA
Previous Registrations
Other Businesses

I*124495 For profit or not for profit: For-Profit Organization Name of outside business organization: BUSINESS IMPROVEMENT SERVICES Investment related: N Address of business: WOODLAND HILLS, California 91367 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 5/24/2017 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Whole sale of equipment spare parts to companies located in South America. The only company we do business with is TEPCO located in Bolivia.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-05
S63 Uniform Securities Agent State Law Examination 2004-01-12
  • S66 Uniform Combined State Law Examination
    2007-06-05
  • S63 Uniform Securities Agent State Law Examination
    2004-01-12
Other Names
  • Saul J Jofre San Chez De Loria
  • Saul J Jofresanchezdeloria
  • Saul J Sanchez De Lori
  • Saul J Jofre Sanchez De Loria
  • Saul Jofre Sanchez De Loria
  • Saul Jerjes Jofre Sanchez De Loria

View on SEC IAPD

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