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Michael Richard Judge

Merrill Lynch, Pierce, Fenner & Smith Incorporated

La Jolla, CA

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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 2020-01-10
TX RA APPROVED 2020-01-10
  • CA RA
    APPROVED
    Since 2020-01-10
  • TX RA
    APPROVED
    Since 2020-01-10

Branch Locations

7825 Fay Ave, La Jolla, CA 92037 • 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
Jpmorgan Chase Bank Greenvale NY 11/2010 11/2016
J.P. Morgan Securities Llc San Diego CA 10/2012 11/2016
Unionbanc Investment Services Encinitas CA 11/2016 01/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated La Jolla CA 01/2020 Present
Bank Of America N.A. La Jolla CA 01/2020 Present
Previous Registrations
  • 2016-11-09 → 2020-01-22
    U.S. Bancorp Advisors, Llc
    Encinitas, CA
    Encinitas, CA
    Carlsbad, CA
    Carlsbad, CA
    Oceanside, CA
    San Marcos, CA
    La Jolla, CA
    Lajolla, CA
    Carlsbad, CA
    Oceanside, CA
    Carlsbad, CA
    Carlsbad, CA
    Oceanside, CA
  • 2014-03-14 → 2016-11-08
    J.P. Morgan Securities Llc
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    La Jolla, CA
    San Diego, CA
    San Diego, CA
    La Jolla, CA
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-13
S63 Uniform Securities Agent State Law Examination 2009-05-14
  • S66 Uniform Combined State Law Examination
    2014-03-13
  • S63 Uniform Securities Agent State Law Examination
    2009-05-14
Other Names
  • Michael Richard Judge
  • Michael R Judge

View on SEC IAPD

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