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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 2024-04-30
CA RA APPROVED 2024-04-04
  • TX RA
    APPROVED_RES
    Since 2024-04-30
  • CA RA
    APPROVED
    Since 2024-04-04

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • United States

2049 Century Park E Division - Pacific Coast, Los Angeles, CA 90067 • 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 Inc. Hunt Valley MD 03/2016 09/2017
Bank Of America/Merrill Lynch, Pierce, Fenner & Smith Inc. Carlsbad CA 09/2017 07/2019
Dunham & Associates Investment Counsel, Inc San Diego CA 03/2021 10/2021
Raymond James Financial Services, Inc Chula Vista CA 10/2021 02/2024
Raymond James Financial Services Advisors, Inc Chula Vista CA 10/2021 02/2024
Mission Federal Credit Union San Diego CA 10/2021 02/2024
Not Employed San Diego CA 07/2019 03/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 03/2024 Present
  • 03/2016 → 09/2017
    Merrill Lynch, Pierce, Fenner & Smith Inc.
    Hunt Valley, MD
  • 09/2017 → 07/2019
    Bank Of America/Merrill Lynch, Pierce, Fenner & Smith Inc.
    Carlsbad, CA
  • 03/2021 → 10/2021
    Dunham & Associates Investment Counsel, Inc
    San Diego, CA
  • 10/2021 → 02/2024
    Raymond James Financial Services, Inc
    Chula Vista, CA
  • 10/2021 → 02/2024
    Chula Vista, CA
  • 10/2021 → 02/2024
    Mission Federal Credit Union
    San Diego, CA
  • 07/2019 → 03/2021
    Not Employed
    San Diego, CA
  • 03/2024 → Present
    Newport Beach, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-17
  • S66 Uniform Combined State Law Examination
    2016-05-17

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