Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-05-06
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2014-05-06
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

520 Newport Center Dr, Newport Beach, CA 92660 • 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 Newport Beach CA 04/2014 01/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 01/2020 Present
Bank Of America, N.A. Newport Beach CA 01/2020 Present
Previous Registrations
  • 2007-07-24 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Newport Beach, CA
Other Businesses

I*1047281For profit or not for profit: Entity For ProfitName of outside business organization: Shamba Nutrition LLC DBA Shamba FitInvestment related: NAddress of business: Costa Mesa, California, 92626Nature of business: ["Limited Liability Company"]Position, title, association: ["Consultant/Independent Contractor"], Start date of relationship: 10/27/2022Number of hours devoted: 3 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: , Coaching fitness classes I*, Entity Type Fiduciary, Name of OBA: The W Family Trust Address: Newport Beach, California, 92660 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 08-Nov-2029 No Hours: 0 No Hours during trading: 0 Duties: I*, Entity Type Fiduciary, Name of OBA: The D Family Trust Address: Fountain Valley, California, 92708 Investment Related: Yes Position, Title, Association: Successor Trustee Employee Start Date: 08-Nov-2029 No Hours: 0 No Hours during trading: 0 Duties: I*, Entity Type Fiduciary, Name of OBA: The J D Living Trust Address: Brooklyn, New York, 11238 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 08-Nov-2029 No Hours: 0 No Hours during trading: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-23
  • S66 Uniform Combined State Law Examination
    2007-07-23
Other Names
  • Priscilla Do
  • Phuong Do

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Newport Beach, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor