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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 2011-09-09
CA RA APPROVED 2004-11-23
  • TX RA
    APPROVED_RES
    Since 2011-09-09
  • CA RA
    APPROVED
    Since 2004-11-23

Branch Locations

145 S State College Blvd, Brea, CA 92821 • 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 Brea CA 06/2004 Present
Bank Of America, N.A. Brea CA 05/2011 Present
Other Businesses

I*107964 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WHITTIER CBMC INVESTMENT RELATED: N ADDRESS OF BUSINESS: WHITTIER, CALIFORNIA 90602 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 11/2/2009 NUMBER OF HOURS DEVOTED: 30 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FUNDRAISING FOR ANNUAL WHITTIER MAYOR'S PRAYER BREAKFAST, CHAIRMAN OF THE COMMITTEE THAT PUTS THE EVENT ON. I*518033 For profit or not for profit: Entity Charitable Name of outside business organization: Better Life La Habra Investment related: N Address of business: La Habra, California, 90631 Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member"], Start date of relationship: 9/1/2021 Number of hours devoted: 20 hour(s) Yearly Number of hours devoted during trading hours: 10 Duties: , Purpose of the entity is to promote resiliency in the lives of people in the La Habra area, through life skill training, serving our community and its city leaders. I will be performing developing overall partnerships for the organization with city leade

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-22
  • S66 Uniform Combined State Law Examination
    2004-11-22
Other Names
  • David Krake

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