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Lharmina T Castro

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, 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
TX RA APPROVED_RES 2024-07-08
CA RA APPROVED 2024-06-13
  • TX RA
    APPROVED_RES
    Since 2024-07-08
  • CA RA
    APPROVED
    Since 2024-06-13

Branch Locations

2049 Century Park E Pbig - Century City, 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
City National Securities, Inc. Beverly Hills CA 05/2005 05/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 06/2024 Present
Previous Registrations
  • 2011-03-21 → 2024-05-31
    Rbc Securities, Inc
    Los Angeles, CA
    Los Angeles, CA
    Beverly Hills, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-03-18
S63 Uniform Securities Agent State Law Examination 2004-10-15
  • S66 Uniform Combined State Law Examination
    2011-03-18
  • S63 Uniform Securities Agent State Law Examination
    2004-10-15
Other Names
  • Lharmina Castro
  • Lharmina Tangco Castro

View on SEC IAPD

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Other Offices

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WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
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TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA
NUVEEN ASSET MANAGEMENT, LLC · LOS ANGELES, CA

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