Best Investors Account Sign in

Nelly A Garcia

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Monica, CA

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-10-23
CA RA APPROVED 2017-06-23
  • TX RA
    APPROVED_RES
    Since 2017-10-23
  • CA RA
    APPROVED
    Since 2017-06-23

Branch Locations

100 Wilshire Blvd, Santa Monica, CA 90401 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Regal Investment Advisors Kentwood MI 08/2015 04/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Monica CA 04/2017 Present
Bank Of America, N.A. Santa Monica CA 09/2017 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-09-23
S65 Uniform Investment Adviser Law Examination 2015-08-12
  • S63 Uniform Securities Agent State Law Examination
    2017-09-23
  • S65 Uniform Investment Adviser Law Examination
    2015-08-12
Other Names
  • Nelly Aguilar
  • Nelly E Aguilar

View on SEC IAPD

More in Santa Monica, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor