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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 2026-01-12
CA RA APPROVED 2022-04-19
  • TX RA
    APPROVED_RES
    Since 2026-01-12
  • CA RA
    APPROVED
    Since 2022-04-19

Branch Locations

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
Jp Morgan Securities Llc Glendale CA 12/2015 04/2018
Jp Morgan Chase Bank Glendale CA 12/2015 04/2018
Unemployed Valley Village CA 05/2018 06/2018
Mufg Union Bank Santa Monica CA 06/2018 01/2019
Unionbanc Investment Services Santa Monica CA 07/2018 01/2019
Citigroup Woodland Hills CA 02/2019 04/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Beverly Hills CA 04/2022 Present
Bank Of America, N.A. Beverly Hills CA 04/2022 Present
  • 12/2015 → 04/2018
    Jp Morgan Securities Llc
    Glendale, CA
  • 12/2015 → 04/2018
    Jp Morgan Chase Bank
    Glendale, CA
  • 05/2018 → 06/2018
    Unemployed
    Valley Village, CA
  • 06/2018 → 01/2019
    Mufg Union Bank
    Santa Monica, CA
  • 07/2018 → 01/2019
    Unionbanc Investment Services
    Santa Monica, CA
  • 02/2019 → 04/2022
    Citigroup
    Woodland Hills, CA
  • 04/2022 → Present
    Beverly Hills, CA
  • 04/2022 → Present
    Bank Of America, N.A.
    Beverly Hills, CA
Previous Registrations
  • 2020-03-12 → 2022-03-31
    Woodland Hills, CA
    Woodland Hills, CA
    Burbank, CA
    Newbury Park, CA
    Fort Mill, SC
    Burbank, CA
    Burbank, CA
    Fountain Valley, CA
    Northridge, CA
    North Hills, CA
    Citrus Heights, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-03-12
S63 Uniform Securities Agent State Law Examination 2016-02-19
  • S65 Uniform Investment Adviser Law Examination
    2020-03-12
  • S63 Uniform Securities Agent State Law Examination
    2016-02-19

View on SEC IAPD

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