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Javier Alfonso Sarmiento

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pomona, CA

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-08-14
  • CA RA
    APPROVED
    Since 2025-08-14

Branch Locations

444 S Garey Ave,, Pomona, CA 91766 • United States

One Bryant Park, New York, NY 10036 • 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 Pomona CA 05/2014 Present
Previous Registrations
  • 2011-01-03 → 2014-05-08
    Wells Fargo Clearing Services, Llc
    Rancho Cucamonga, CA
    Azusa, CA
    Pasadena, CA
  • 2007-12-05 → 2011-01-03
    Wells Fargo Investments, Llc
    Rancho Cucamonga, CA
    El Monte, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-14
  • S66 Uniform Combined State Law Examination
    2025-08-14
Other Names
  • Javier A Sarmiento
  • Javier Sarmiento
  • Javier Alfonso Sarmiento

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · POMONA, CA
WELLS FARGO CLEARING SERVICES, LLC · POMONA, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · POMONA, CA
J.P. MORGAN SECURITIES LLC · CHINO HILLS, CA
VALUETECH PRIVATE ADVISORS · Pomona, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CLAREMONT, CA
GOULD ASSET MANAGEMENT LLC · CLAREMONT, CA
GOULD ASSET MANAGEMENT LLC · CLAREMONT, CA

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