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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-01-14 |
| CA | RA | APPROVED | 2020-09-10 |
Branch Locations
3010 Old Ranch Pkwy, Seal Beach, CA 90740 • United States
520 Newport Center Dr Pbig - Fashion Island, Newport Beach, CA 92660 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Orchard Securities | Salt Lake City | UT | 08/2012 | 10/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 11/2018 | Present |
| Mutual Trust Co. Of America Securities | Newport Beach | CA | 03/2018 | 11/2018 |
| Unemployed | Newport Beach | CA | 11/2017 | 02/2018 |
| Bank Of America, N.A. | Seal Beach | CA | 11/2018 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seal Beach | CA | 08/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-26 |
| S63 | Uniform Securities Agent State Law Examination | 2008-12-10 |
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