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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 2011-03-03
CA RA APPROVED 2004-05-31
  • TX RA
    APPROVED_RES
    Since 2011-03-03
  • CA RA
    APPROVED
    Since 2004-05-31

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 02/2004 Present
Bank Of America, N.A Sacramento CA 04/2017 Present
Other Businesses

I*126036 For profit or not for profit: Non-Profit Organization Name of outside business organization: Sacramento Ballet Investment related: N Address of business: Sacramento, California 95816 Nature of business: Charitable Organization, Position, title, association: , Start date of relationship: 9/24/2019 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Sacramento Ballet - Non-Profit Performing Arts Company. Board of Directors - Support/Fundraising, Special Events (Planning, etc.) and Community Outreach.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-27
  • S66 Uniform Combined State Law Examination
    2004-05-27

View on SEC IAPD

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