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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 2022-04-07
CA RA APPROVED 2021-03-01
  • TX RA
    APPROVED
    Since 2022-04-07
  • CA RA
    APPROVED
    Since 2021-03-01

Branch Locations

101 S Ellsworth Ave, San Mateo, CA 94401 • 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 Morgan Hill CA 01/2020 11/2020
Bank Of America, N.A. San Jose CA 04/2017 01/2020
De Anza College Cupertino CA 09/2016 12/2016
Unemployed Capitola CA 12/2016 04/2017
Unemployed Sunnyvale CA 08/2016 09/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Mateo CA 02/2021 Present
University Of California, Davis Davis CA 09/2020 03/2021
Previous Registrations
Other Businesses

For profit or not for profit: For-Profit Organization Name of outside business organization: Doordash Investment related: No Address of business: Sunnyvale, California 94087 Nature of business: Food delivery Position, title, association: Part-Time driver, Start date of relationship: 3/31/2020 Number of hours devoted: 60 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Food delivery service

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-18
  • S66 Uniform Combined State Law Examination
    2020-05-18

View on SEC IAPD

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