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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-05-17
CA RA APPROVED 2015-08-17
  • TX RA
    APPROVED
    Since 2016-05-17
  • CA RA
    APPROVED
    Since 2015-08-17

Branch Locations

145 S State College Blvd, Brea, CA 92821 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Brea CA 05/2015 Present
Bank Of America, N.A. Brea CA 07/2015 Present
Other Businesses

I*116466For profit or not for profit: For-Profit OrganizationName of outside business organization: Perfectly Inc.Investment related: NAddress of business:Anaheim, California 92808Nature of business: Corporation,Position, title, association: Officer, Start date of relationship: 8/13/2018Number of hours devoted: 20 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Start up company that I will be an owner of but not working at. A partner will run the company with my husband. This is a retail/manufacturing pillow company with no relation to finance.I*513885For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: Sugarloaf, California, 92386Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 8/5/2021Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I*1744284 Entity Type: Entity Charitable Name of OBA: Friends of Joshua Tree Address: Yucca Valley, California, 92284 Investment Related: No Position, Title, Association: Board Member,Officer Employee Start Date: 03/15/2024 Number of Hours: 5, Monthly Number of Hours during trading: 0, Monthly Duties: To promote access to and the preservation of climbing in Joshua Tree National Park I am on the board and have been asked to be the VP for the coming year. I will not be on any bank accounts and just mostly manage communications and group projects for the organization

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-14
S63 Uniform Securities Agent State Law Examination 2011-02-21
  • S65 Uniform Investment Adviser Law Examination
    2015-08-14
  • S63 Uniform Securities Agent State Law Examination
    2011-02-21
Other Names
  • Erin Nicole Andersen
  • Erin N Goodrich

View on SEC IAPD

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