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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-08-15
TX RA APPROVED 2014-08-15
  • CA RA
    APPROVED
    Since 2014-08-15
  • TX RA
    APPROVED
    Since 2014-08-15

Branch Locations

7825 Fay Ave, La Jolla, CA 92037 • 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 San Diego CA 08/2014 Present
Bank Of America, N.A. San Diego CA 09/2014 Present
Previous Registrations
  • 2013-03-05 → 2014-08-18
    La Jolla, CA
    St Louis, MO
Other Businesses

I*74838FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: CHISWICK LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:ST. LOUIS, MISSOURI 63117NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/1987NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RENTAL PROPERTY OWNERSHIP. THE DATE OF OWNERSHIP IS ESTIMATED. I*74840FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SAND BOX LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:ST. LOUIS, MISSOURI 63105NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/1997NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OWNER OF RENTAL PROPERTY. THE PUCHASE DATE IS AN ESTIMATE. I*74842FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RMS NORTHWOODINVESTMENT RELATED: YADDRESS OF BUSINESS:ST. LOUIS, MISSOURI 63105NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/2007NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OWNER OF RENTAL PROPERTY (50%). THE DATE OF OWNERSHIP IS AN ESTIMATE. I*547365For profit or not for profit: Entity For ProfitName of outside business organization: AES NorthwoodInvestment related: NAddress of business: La Jolla, California, 92037Nature of business: ["Corporation"]Position, title, association: ["Owner"], Start date of relationship: 11/1/2021Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , This LLC owns 50% of an apartment building that I recently purchased from my sister. OBA ID: 1604290OBA Name: Cold SnapLocation: Billerica, MAInvestment Related Activity: NoRole: OtherState Date: 12/04/2023Time Related Commitment: YearlyTime Related During Work Hours: 0 Duties: To provide machine to create smoothies and soft ice cream in minutes. I*2256271, Entity Type: , Name of OBA: R M S TTEE U/A DTD 11/21/2002 BY J W, Address: Englewood, Ohio, 45322, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 25-Mar-2025, No Hours: 4 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-01-04
  • S66 Uniform Combined State Law Examination
    2013-01-04

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