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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 2013-02-06
CA RA APPROVED 2011-05-06
  • TX RA
    APPROVED
    Since 2013-02-06
  • CA RA
    APPROVED
    Since 2011-05-06

Branch Locations

6006 El Tordo Pwm, Rancho Santa Fe, CA 92067 • United States

6006 El Tordo, Rancho Santa Fe, CA 92067 • United States

7825 Fay Ave Pbig - La Jolla, La Jolla, CA 92037 • United States

San Diego, CA • 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 Century City CA 02/2011 Present
Bank Of America, N.A. Century City CA 05/2015 Present
Other Businesses

I*: 2323260 Entity Type: For Profit Name of OBA: L. K., LLC Address: Del Mar, CA 92014 Investment Related: No Position, Title, Association: Owner Employee Start Date: 12/23/2024 Number of Hours: 4 hrs wkly Number of Hours during trading: 0 Duties: LLC setup to protect myself and for tax purposes. Horse related - I ride horses now. I will buy and sell my horses through this entity. In addition, sometimes prize money might be made at the horse show

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-05
  • S66 Uniform Combined State Law Examination
    2011-05-05

View on SEC IAPD

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