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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 2025-08-25
CA RA APPROVED 2019-11-25
  • TX RA
    APPROVED
    Since 2025-08-25
  • CA RA
    APPROVED
    Since 2019-11-25

Branch Locations

607 W 3Rd St, Austin, TX 78701 • 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 Beverly Hills CA 03/2015 06/2017
Bank Of America, N.A. Beverly Hills CA 09/2015 06/2017
Citigroup Fountain Valley CA 06/2017 11/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 11/2019 Present
Previous Registrations
Other Businesses

I*434008 For profit or not for profit: For-Profit Organization Name of outside business organization: David Carbone Investment related: No Address of business: Los Angeles, California 90025 Position, title, association: Owner, Start date of relationship: 1/18/2021 Number of hours devoted: 12 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Music Production

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-13
  • S66 Uniform Combined State Law Examination
    2015-07-13
Other Names
  • David A Hoyle
  • David A Carbone
  • David Carbone

View on SEC IAPD

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