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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-03-25
TX RA APPROVED_RES 2016-07-28
CA RA APPROVED 2015-11-02
  • NC RA
    APPROVED
    Since 2025-03-25
  • TX RA
    APPROVED_RES
    Since 2016-07-28
  • CA RA
    APPROVED
    Since 2015-11-02

Branch Locations

520 Newport Center Dr, Newport Beach, CA 92660 • 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
Bank Of America, N.A. Riverside CA 10/2015 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Riverside CA 10/2015 Present
Previous Registrations
Other Businesses

I*505918 For profit or not for profit: Entity Governmental Name of outside business organization: Regents of the University of California, The Investment related: N Address of business: Riverside, California, 92521 Nature of business: ["Private Foundation"] Position, title, association: ["Employee"], Start date of relationship: 1/4/2023 Number of hours devoted: 5 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , UC Riverside is a public university and the UCR business school's purpose is to educate students in the art and science of management. The expected role is a part time lecturer position in the accounting department at the UC Riverside school of business. Teaching Financial statement analysis to undergraduate students. I submitted my employment application and I am anticipating to teach course in winter quarter 2022 -2023 academic year start date approximately 01.04.2023. Expectation is to teach 1 course late afternoon or early evening one or two days a week.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-08-25
  • S66 Uniform Combined State Law Examination
    2012-08-25
Other Names
  • Adam M Levi

View on SEC IAPD

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