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Fatima G Munoz Huerta

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Las Vegas, NV

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2020-06-03
TX RA APPROVED 2019-02-20
CA RA APPROVED 2019-01-10
  • NV RA
    APPROVED
    Since 2020-06-03
  • TX RA
    APPROVED
    Since 2019-02-20
  • CA RA
    APPROVED
    Since 2019-01-10

Branch Locations

400 S Rampart Blvd, Las Vegas, NV 89145 • 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 No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank, Na Sunnyvale CA 08/2015 08/2018
Wells Fargo Advisors, Llc Sunnyvale CA 09/2015 11/2016
Wells Fargo Clearing Services, Llc Sunnyvale CA 11/2016 08/2018
Bank Of America N.A. San Jose CA 09/2018 09/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Jose CA 09/2018 Present
  • 08/2015 → 08/2018
    Wells Fargo Bank, Na
    Sunnyvale, CA
  • 09/2015 → 11/2016
    Wells Fargo Advisors, Llc
    Sunnyvale, CA
  • 11/2016 → 08/2018
    Wells Fargo Clearing Services, Llc
    Sunnyvale, CA
  • 09/2018 → 09/2018
    Bank Of America N.A.
    San Jose, CA
  • 09/2018 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Jose, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-09
S63 Uniform Securities Agent State Law Examination 2015-05-22
  • S66 Uniform Combined State Law Examination
    2019-01-09
  • S63 Uniform Securities Agent State Law Examination
    2015-05-22
Other Names
  • Fatima Munoz
  • Fatima G Munoz Huerta
  • Fatima Guadalupe Munoz Huerta
  • Fatima G Munoz
  • Fatima Munoz Huerta

View on SEC IAPD

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AI AGENT CAPITAL, LLC · LAS VEGAS, NV
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