Niels Mohler

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2009-08-25
CA	RA	APPROVED	2007-12-17

TX RA
APPROVED

Since 2009-08-25
CA RA
APPROVED

Since 2007-12-17

Branch Locations

12830 El Camino Real, San Diego, CA 92130 • 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

Organization	City	State	From	To
Merrill Lynch	Carlsbad	CA	09/2007	Present
Bank Of America, N.A.	Carlsbad	CA	06/2011	Present

09/2007 → Present

Merrill Lynch

Carlsbad, CA
06/2011 → Present

Bank Of America, N.A.

Carlsbad, CA

Other Businesses

I*78500 For profit or not for profit: For-Profit Organization Name of outside business organization: Three Sisters Jewelry Investment related: N Address of business: Encinitas, California 92024 Nature of business: S-Corp, Position, title, association: Family Held, Start date of relationship: 1/1/2007 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: admininstration. It my wife's business

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-12-14

S66 Uniform Combined State Law Examination

2007-12-14

Other Names

Niels Theodore Mohler
Niels T Mohler

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