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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 2020-07-02
TX RA APPROVED 2020-07-02
  • CA RA
    APPROVED
    Since 2020-07-02
  • TX RA
    APPROVED
    Since 2020-07-02

Branch Locations

6356 Irvine Blvd, Irvine, CA 92620 • 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
Td Ameritrade San Gabriel CA 01/2019 05/2020
Axa La CA 11/2015 02/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Irvine CA 05/2020 Present
Bank Of America, N.A. Irvine CA 05/2020 Present
Previous Registrations
  • 2019-02-12 → 2020-05-22
    Td Ameritrade, Inc.
    San Gabriel, CA
  • 2019-02-12 → 2020-05-22
    Td Ameritrade Investment Management, Llc
    San Gabriel, CA
  • 2018-12-13 → 2019-02-20
    Los Angeles, CA
Other Businesses

I*3943267 Entity Type: For Profit Name of OBA: D. E. professional ballet costumes Address: Yorba Linda, California, 92886 Investment Related: No Position, Title, Association: Owner Employee Start Date: 06/15/2026 Number of Hours: 1, Weekly Number of Hours during trading: 0 Duties: My husband and myself want to set up a S corporation operating business in professional ballet costumes. Joint owner and daily administrator

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-12
S63 Uniform Securities Agent State Law Examination 2016-04-26
  • S66 Uniform Combined State Law Examination
    2018-12-12
  • S63 Uniform Securities Agent State Law Examination
    2016-04-26

View on SEC IAPD

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