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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2026-06-05
CA RA APPROVED 2024-09-25
TX RA APPROVED 2024-09-25
  • SC RA
    APPROVED
    Since 2026-06-05
  • CA RA
    APPROVED
    Since 2024-09-25
  • TX RA
    APPROVED
    Since 2024-09-25

Branch Locations

608 Silver Spur Rd, Rolling Hills Estates, CA 90274 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Private Bank, N.A. New York NY 09/2015 09/2024
Morgan Stanley Smith Barney Llc Rolling Hills CA 07/2017 09/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rolling Hills Estates CA 09/2024 Present
Bank Of America, N.A. Rolling Hills Estates CA 10/2024 Present
  • 09/2015 → 09/2024
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 07/2017 → 09/2024
    Morgan Stanley Smith Barney Llc
    Rolling Hills, CA
  • 09/2024 → Present
    Rolling Hills Estates, CA
  • 10/2024 → Present
    Bank Of America, N.A.
    Rolling Hills Estates, CA
Previous Registrations
  • 2015-07-10 → 2024-10-04
    Long Beach, CA
    Rolling Hills Estates, CA
    Palos Verdes Estates, CA
  • 2008-12-09 → 2015-07-22
    Seal Beach, CA
  • 2008-03-18 → 2008-12-08
    Morgan Stanley & Co. Llc
    Long Beach, CA
Other Businesses

I*2025262, Entity Type: Charitable, Name: South Coast Botanic Garden; Investment related-No; Address: Palos Verdes Peninsula, California, 90274 Position: Board Member, 09/01/2022; During business hours: 10hrs/Ann, After business hours: 0; Duties: Board Member, member of finance committee. I*2025268 Rental Property 6 ; Investment related - No; Address: Los Angeles, CA, 90024; Position: Co-owner with other family members; Date started: 12/29/2020 During business hours : 0 After business hours: 0 I*5134267, Entity Type: Entity Charitable, Name of OBA: Logos Evangelical Seminary Foundation, Inc., Address: El Monte, California, 91731, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 01/01/2027, No Hours: 8 Yearly, No Hours during Trading: 0 Yearly, Duties: Board Member Board Member for this non-profit foundation, to provide guidance and leadership on its objectives of providing seminary education to graduate students; foundation also has an endowment that it oversees for Logos Evangelical Seminary.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-17
  • S66 Uniform Combined State Law Examination
    2008-03-17
Other Names
  • Kevin Benjamin Ou

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