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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 2023-05-02
CA RA APPROVED 2022-07-14
  • TX RA
    APPROVED
    Since 2023-05-02
  • CA RA
    APPROVED
    Since 2022-07-14

Branch Locations

2 Belvedere Pl, Mill Valley, CA 94941 • 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
E*Trade Securities Llc San Francisco CA 09/2015 12/2016
E*Trade Capital Management Llc San Francisco CA 09/2015 12/2016
Td Ameritrade Corte Madera CA 12/2016 09/2018
Jpmorgan Chase Bank, N.A. Greenbrae CA 09/2018 07/2022
Jp Morgan Securities, Llc Greenbrae CA 09/2018 07/2022
Ihss San Francisco CA 02/2008 Present
Td Ameritrade Investment Management, Llc Corte Madera CA 01/2017 09/2018
Td Ameritrade, Inc Corte Madera CA 01/2017 09/2018
Harrisdirect Llc San Francisco CA 09/2015 12/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mill Valley CA 07/2022 Present
Bank Of America, N.A. Mill Valley CA 08/2022 Present
  • 09/2015 → 12/2016
    E*Trade Securities Llc
    San Francisco, CA
  • 09/2015 → 12/2016
    E*Trade Capital Management Llc
    San Francisco, CA
  • 12/2016 → 09/2018
    Td Ameritrade
    Corte Madera, CA
  • 09/2018 → 07/2022
    Jpmorgan Chase Bank, N.A.
    Greenbrae, CA
  • 09/2018 → 07/2022
    Greenbrae, CA
  • 02/2008 → Present
    Ihss
    San Francisco, CA
  • 01/2017 → 09/2018
    Td Ameritrade Investment Management, Llc
    Corte Madera, CA
  • 01/2017 → 09/2018
    Td Ameritrade, Inc
    Corte Madera, CA
  • 09/2015 → 12/2016
    Harrisdirect Llc
    San Francisco, CA
  • 07/2022 → Present
    Mill Valley, CA
  • 08/2022 → Present
    Bank Of America, N.A.
    Mill Valley, CA
Previous Registrations
  • 2018-09-18 → 2022-07-15
    Greenbrae, CA
    Tiburon, CA
    San Rafael, CA
    Tiburon, CA
  • 2017-01-13 → 2018-09-20
    Td Ameritrade, Inc.
    Corte Madera, CA
  • 2017-01-13 → 2018-09-20
    Td Ameritrade Investment Management, Llc
    Corte Madera, CA
  • 2015-10-02 → 2017-01-09
    Harrisdirect Llc
    San Francisco, CA
    Arlington, VA
  • 2014-10-14 → 2015-10-08
    San Francisco, CA
    San Rafael, CA
    San Rafael, CA
    San Francisco, CA
    San Rafael, CA
  • 2013-10-29 → 2014-09-04
    J.P. Morgan Private Wealth Advisors Llc
    San Francisco, CA
  • 2012-12-06 → 2013-06-24
    Securian Financial Services, Inc.
    San Mateo, CA
Other Businesses

ACTIVITY TYPE: 3 - SECOND JOB NAME OF ENTITY: IN HOME SUPPORT SERVICES POSITION: CARE GIVER / PROVIDER START DATE: 2/1/2008 ADDRESS: San Francisco CA 04107 DETAILS: HELP FAMILY MEMBER WITH SHOPPING AND DOCTOR APPOINTMENTS. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 15 HOURS DURING TRADING: 0 I*965504 For profit or not for profit: Entity Charitable Name of outside business organization: IHSS Investment related: N Address of business: San Francisco, California, 94103 Nature of business: ["Governmental Organization"] Position, title, association: ["Employee"], Start date of relationship: 8/25/2022 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Caregiver on weekends for my Grandmother.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-07-02
  • S66 Uniform Combined State Law Examination
    2012-07-02

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