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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 2025-10-29
CA RA APPROVED 2025-09-05
  • TX RA
    APPROVED_RES
    Since 2025-10-29
  • CA RA
    APPROVED
    Since 2025-09-05

Branch Locations

3016 N Sepulveda Blvd, Manhattan Beach, CA 90266 • 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
Northwestern Mutual Los Angeles CA 05/2016 05/2017
Jp Morgan Chase Bank Culver City CA 07/2017 08/2020
Jp Morgan Securities Llc Culver City CA 07/2017 08/2020
Unemployed Venice CA 06/2017 06/2017
Northwestern Mutual Investment Services, Llc( Los Angeles CA 06/2016 12/2016
U.S. Bank Santa Monica CA 10/2021 05/2025
U.S. Bancorp Investments, Inc. Santa Monica CA 01/2023 05/2025
Unemployed Los Angeles CA 08/2020 09/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated El Segundo CA 05/2025 Present
Bank Of America, N.A. El Segundo CA 06/2025 Present
  • 05/2016 → 05/2017
    Northwestern Mutual
    Los Angeles, CA
  • 07/2017 → 08/2020
    Jp Morgan Chase Bank
    Culver City, CA
  • 07/2017 → 08/2020
    Jp Morgan Securities Llc
    Culver City, CA
  • 06/2017 → 06/2017
    Unemployed
    Venice, CA
  • 06/2016 → 12/2016
    Northwestern Mutual Investment Services, Llc(
    Los Angeles, CA
  • 10/2021 → 05/2025
    U.S. Bank
    Santa Monica, CA
  • 01/2023 → 05/2025
    U.S. Bancorp Investments, Inc.
    Santa Monica, CA
  • 08/2020 → 09/2021
    Unemployed
    Los Angeles, CA
  • 05/2025 → Present
    El Segundo, CA
  • 06/2025 → Present
    Bank Of America, N.A.
    El Segundo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-04
S63 Uniform Securities Agent State Law Examination 2024-03-30
  • S66 Uniform Combined State Law Examination
    2025-09-04
  • S63 Uniform Securities Agent State Law Examination
    2024-03-30
Other Names
  • Caroline Guerra
  • Caroline Cisneiros Guerra
  • Caroline Cisneiros Guerra

View on SEC IAPD

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