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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2025-09-15
TX RA APPROVED_RES 2021-01-13
CA RA APPROVED 2011-10-31
  • MO RA
    APPROVED
    Since 2025-09-15
  • TX RA
    APPROVED_RES
    Since 2021-01-13
  • CA RA
    APPROVED
    Since 2011-10-31

Branch Locations

1331 N California Blvd, Walnut Creek, CA 94596 • 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 Walnut Creek CA 05/2011 Present
Bank Of America, N.A. Walnut Creek CA 08/2011 Present
Other Businesses

I*47279 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: U.S. SECRET SERVICE SAN FRANCISCO ELECTRONIC CRI INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN FRANCISCO, CALIFORNIA 94105 NATURE OF BUSINESS: OTHER,VOLUNTEER NON-PAID POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER START DATE OF RELATIONSHIP: 8/1/01 NUMBER OF HOURS DEVOTED: 30 HRS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: AS A MEMBER OF THE STEERING COMMITTEE, I ASSIST IN COORDINATING THE LOCATION, SPEAKERS AS WELL AS THE TOPICS FOR THE QUARTERLY EVENTS I*120891 For profit or not for profit: Non-Profit Organization Name of outside business organization: Children's Hospital Investment related: N Address of business: Oakland, California 94609 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 2/18/2019 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I am on the committee for their annual golf tournament "Score For Kids" to be played in September at Claremont Country Club I*361305 Entity Type: For Profit Name of OBA: Dava Enterprises Address: Alamo, CA, 94507 Investment Related: No Position, Title, Association: Other Employee Start Date:01/01/04 No Hours: 20 YEARLY No Hours during trading: 0 Duties: My wife has a consulting business which she needs assistance. I*: 1046244 Entity Type: Governmental Name of OBA: CAL-ID Remote Access Network Board Address: Martinez, CA 94553 Investment Related: No Position, Title, Association: Member-at-Large Employee Start Date: 01-Jan-2023 Number of Hours: 3 hrs annually Number of Hours during trading: 3 hrs annually Duties: This is an oversight board in the Office of the Sheriff of Contra Costa County for the use and placement of fingerprint equipment. The position is a Member-at-Large.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-27
  • S66 Uniform Combined State Law Examination
    2011-10-27

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