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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 2022-03-08
CA RA APPROVED 2022-03-02
  • TX RA
    APPROVED
    Since 2022-03-08
  • CA RA
    APPROVED
    Since 2022-03-02

Branch Locations

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

800 E Colorado Blvd, Pasadena, CA 91101 • 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 Pasadena CA 09/2015 Present
Other Businesses

I*4500269 Entity Type: Fiduciary role Name of OBA: F. A. Address: Monrovia, California, 91016 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 04/24/2026 Number of Hours: 0 Number of Hours during trading: 0 Duties: Power of Attorney/Domestic Partner

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-01
  • S66 Uniform Combined State Law Examination
    2022-03-01

View on SEC IAPD

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