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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 2022-07-26
CA RA APPROVED 2022-07-18
  • TX RA
    APPROVED
    Since 2022-07-26
  • CA RA
    APPROVED
    Since 2022-07-18

Branch Locations

100 Wilshire Blvd, Santa Monica, CA 90401 • 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
J.P. Morgan Securities Llc Tiburon CA 10/2012 07/2022
Jpmorgan Chase Bank, N.A. San Francisco CA 05/2019 07/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Monica CA 07/2022 Present
Bank Of America N.A. Santa Monica CA 07/2022 Present
Previous Registrations
  • 2012-10-01 → 2022-07-16
    Tiburon, CA
    Greenbrae, CA
    Tiburon, CA
    Tiburon, CA
    San Francisco, CA
  • 2010-07-16 → 2012-10-01
    Chase Investment Services Corp.
    Tiburon, CA
    Denver, CO
    Englewood, CO
    Parker, CO
    Highlands Ranch, CO
    Parker, CO
    Greenbrae, CA
    Santa Rosa, CA
    Santa Rosa, CA
  • 2009-01-02 → 2009-05-20
    Denver, CO
    Meridian, ID
    Thornton, CO
Other Businesses

Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-17
  • S66 Uniform Combined State Law Examination
    2008-12-17

View on SEC IAPD

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