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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 2023-12-11
  • CA RA
    APPROVED
    Since 2023-12-11

Branch Locations

101 S Rodeo Dr, Beverly Hills, CA 90212 • United States

2049 Century Park E, 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
Union Bank Irvine CA 08/2009 11/2022
Unionbanc Investment Services Irvine CA 02/2010 11/2022
First Republic Securities Company, Llc Los Angeles CA 12/2022 07/2023
First Republic Bank Los Angeles CA 11/2022 07/2023
First Republic Investment Management, Inc Los Angeles CA 12/2022 07/2023
J.P. Morgan Securities Llc Los Angeles CA 09/2023 10/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 10/2023 Present
  • 08/2009 → 11/2022
    Union Bank
    Irvine, CA
  • 02/2010 → 11/2022
    Unionbanc Investment Services
    Irvine, CA
  • 12/2022 → 07/2023
    First Republic Securities Company, Llc
    Los Angeles, CA
  • 11/2022 → 07/2023
    First Republic Bank
    Los Angeles, CA
  • 12/2022 → 07/2023
    First Republic Investment Management, Inc
    Los Angeles, CA
  • 09/2023 → 10/2023
    J.P. Morgan Securities Llc
    Los Angeles, CA
  • 10/2023 → Present
    Los Angeles, CA
Previous Registrations
Other Businesses

I*2448261, Entity Type: Entity For Profit, Name of OBA: RSA Ventures, LLC, Address: Los Angeles, California, 90035, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 06/01/2025, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: rental home

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-15
  • S66 Uniform Combined State Law Examination
    2005-04-15

View on SEC IAPD

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