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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 2022-02-17
FL RA APPROVED 2021-05-04
  • TX RA
    APPROVED_RES
    Since 2022-02-17
  • FL RA
    APPROVED
    Since 2021-05-04

Branch Locations

222 Lakeview Ave, West Palm Beach, FL 33401 • United States

140 N County Rd Palm Beach Hnw Center, Palm Beach, FL 33480 • 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
Jpmorgan Chase Bank Na Palm Beach FL 05/2018 04/2021
Jpmorgan Securities Llc Palm Beach FL 05/2018 04/2021
Loadsmart New York NY 08/2015 11/2017
Unemployed New York NY 11/2017 05/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Palm Beach FL 05/2021 Present
Bank Of America, N.A. Palm Beach FL 07/2021 Present
  • 05/2018 → 04/2021
    Jpmorgan Chase Bank Na
    Palm Beach, FL
  • 05/2018 → 04/2021
    Jpmorgan Securities Llc
    Palm Beach, FL
  • 08/2015 → 11/2017
    Loadsmart
    New York, NY
  • 11/2017 → 05/2018
    Unemployed
    New York, NY
  • 05/2021 → Present
    Palm Beach, FL
  • 07/2021 → Present
    Bank Of America, N.A.
    Palm Beach, FL
Previous Registrations
  • 2004-10-22 → 2006-05-02
    Ubs International Inc.
    New York, NY
Other Businesses

I*137937 For profit or not for profit: For-Profit Organization Name of outside business organization: Cochella Capital Investment related: N Address of business: Palm Beach, Florida 33480 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 9/23/2015 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: This is simply an LLC that I created to house some of my private investments, such as High Goal Spirits. It does not have a function. I*137936 For profit or not for profit: For-Profit Organization Name of outside business organization: VSD Property LLC Investment related: N Address of business: Palm Beach, Florida 33480 Nature of business: LLC, Position, title, association: , Start date of relationship: 2/10/2021 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Ancillary adhoc administrative tasks.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-28
S63 Uniform Securities Agent State Law Examination 2018-06-19
  • S66 Uniform Combined State Law Examination
    2021-04-28
  • S63 Uniform Securities Agent State Law Examination
    2018-06-19
Other Names
  • Diego Urrutia Rojas

View on SEC IAPD

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