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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_RES 2016-07-28
CA RA APPROVED 2013-12-05
  • TX RA
    APPROVED_RES
    Since 2016-07-28
  • CA RA
    APPROVED
    Since 2013-12-05

Branch Locations

608 Silver Spur Rd, Rolling Hills Estates, CA 90274 • 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 West Los Angeles CA 08/2012 Present
Bank Of America, N.A. West Los Angeles CA 04/2014 Present
Other Businesses

I*648233For profit or not for profit: Name of outside business organization: Rental Property 5Investment related: NAddress of business: Corona, California, 92883Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 12/16/2021Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0DutiesI*101877FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTYINVESTMENT RELATED: NADDRESS OF BUSINESS:DOWNEY, CALIFORNIA 90813NATURE OF BUSINESS: OTHER, PERSONAL PROPERTYPOSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/2017NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I PURHASED A DUPLEX, RESIDE IN ONE UNIT AND RENT OUT THE OTHER UNIT FOR RENTAL PROFIT.I*1388For profit or not for profit: Name of outside business organization: Rental PropertyInvestment related: Address of business:Downey, California 90813Nature of business: ,Position, title, association: , Start date of relationship: 1/1/2017Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0Duties:I*9514/ 504215For profit or not for profit: Name of outside business organization: GRANT ST PropertyInvestment related: NAddress of business: Corona, CaliforniaNature of business: ,Position, title, association: Sole ownerStart date of relationship: 4/20/2020Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0Duties:I*504910For profit or not for profit: Name of outside business organization: RentalInvestment related: NAddress of business: Coronoa, California, 92879Nature of business: Position, title, association: Sole owner, Start date of relationship: 5/2/2014Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 1Duties: ,I*499143For profit or not for profit: Name of outside business organization: Long Beach DuplexInvestment related: NAddress of business: Downey, California, 90813Nature of business: Position, title, association: Sole owner, Start date of relationship: 1/1/2017Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I* 1785318 For profit or not for profit: Name of outside business organization: Rental Property 6 Investment related: no Address of business: SAN PEDRO, CA, 90732 Nature of business: Position, title, association: Sole owner Start date of relationship: 04/15/2024 Number of hours devoted: 2 monthly Number of hours devoted during trading hours: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-03
  • S66 Uniform Combined State Law Examination
    2013-12-03
Other Names
  • Hilda Leticia Novoa

View on SEC IAPD

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