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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 2021-08-31
FL RA APPROVED 2021-08-25
  • TX RA
    APPROVED_RES
    Since 2021-08-31
  • FL RA
    APPROVED
    Since 2021-08-25

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

3507 Kyoto Gardens Dr, Palm Beach Gardens, FL 33410 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Miami FL 01/2013 11/2016
Wells Fargo Clearing Services, Llc Miami FL 11/2016 07/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Palm Beach Gardens FL 08/2021 Present
Florida International University Miami FL 08/2015 12/2016
Bank Of America, N.A. Palm Beach Gardens FL 09/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-08
  • S66 Uniform Combined State Law Examination
    2016-01-08
Other Names
  • Jose Eustaquio

View on SEC IAPD

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