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Roberto Santos

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Indian Wells, CA

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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 2020-02-27
CA RA APPROVED 2019-11-21
  • TX RA
    APPROVED
    Since 2020-02-27
  • CA RA
    APPROVED
    Since 2019-11-21

Branch Locations

74800 Us Highway 111, Indian Wells, CA 92210 • 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
Jp Morgan Securities Llc Rancho Mirage CA 07/2014 10/2017
Jpmorgan Chase Bank Rancho Mirage CA 07/2014 10/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Indian Wells CA 10/2017 Present
Bank Of America N.A. Indian Wells CA 02/2020 Present
  • 07/2014 → 10/2017
    Jp Morgan Securities Llc
    Rancho Mirage, CA
  • 07/2014 → 10/2017
    Jpmorgan Chase Bank
    Rancho Mirage, CA
  • 10/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Indian Wells, CA
  • 02/2020 → Present
    Bank Of America N.A.
    Indian Wells, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-20
S63 Uniform Securities Agent State Law Examination 2012-09-25
  • S66 Uniform Combined State Law Examination
    2019-11-20
  • S63 Uniform Securities Agent State Law Examination
    2012-09-25
Other Names
  • Roberto Santos

View on SEC IAPD

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