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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 2024-12-12
  • TX RA
    APPROVED
    Since 2024-12-12

Branch Locations

1803 Broadway St, San Antonio, TX 78215 • 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
Citigroup Global Markets Inc San Antonio TX 03/2008 11/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Antonio TX 11/2024 Present
Bank Of America, N.A San Antonio TX 12/2024 Present
Previous Registrations
  • 2008-10-14 → 2024-11-28
    Jacksonville, FL
    San Antonio, TX
    San Antonio, TX
    Jacksonville, FL
    San Antonio, TX
    San Antonio, TX
    San Antonio, TX
    Irving, TX
    San Antonio, TX
    Jacksonville, FL
    San Antonio, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-11
S63 Uniform Securities Agent State Law Examination 2004-07-30
  • S66 Uniform Combined State Law Examination
    2008-10-11
  • S63 Uniform Securities Agent State Law Examination
    2004-07-30
Other Names
  • Raul Rodrigo Riojas

View on SEC IAPD

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