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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 2009-07-08
HI RA APPROVED 2007-08-27
CA RA APPROVED 2007-08-24
  • TX RA
    APPROVED
    Since 2009-07-08
  • HI RA
    APPROVED
    Since 2007-08-27
  • CA RA
    APPROVED
    Since 2007-08-24

Branch Locations

1003 Bishop St, Honolulu, HI 96813 • 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 Honolulu HI 05/2007 Present
Bank Of America, Na Honolulu HI 09/2009 Present
  • 05/2007 → Present
    Merrill Lynch
    Honolulu, HI
  • 09/2009 → Present
    Bank Of America, Na
    Honolulu, HI
Other Businesses

I*2635278, Entity Type: , Name of OBA: Rental Property 1, Address: Auburn, New York, 13021, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 07/21/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-23
  • S66 Uniform Combined State Law Examination
    2007-08-23

View on SEC IAPD

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