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Shirley Su

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Roseville, CA

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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 2004-04-20
  • CA RA
    APPROVED
    Since 2004-04-20

Branch Locations

2998 Douglas Blvd, Roseville, CA 95661 • 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 Sacramento CA 01/2004 Present
Bank Of America,Na Sacramento CA 09/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-05
  • S66 Uniform Combined State Law Examination
    2004-04-05
Other Names
  • Yi-Ju Su

View on SEC IAPD

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COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
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