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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 2022-05-16
CA RA APPROVED 2022-05-12
  • TX RA
    APPROVED
    Since 2022-05-16
  • CA RA
    APPROVED
    Since 2022-05-12

Branch Locations

4741 E Ray Rd, Phoenix, AZ 85044 • 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 & Smithincorporated Tempe AZ 08/2021 Present
New York Life Insurance Company Glendale CA 08/2020 08/2021
52 Seasons Costa Mesa CA 03/2020 09/2020
Northstar California Truckee CA 11/2017 12/2019
New Caps Llc Portland OR 05/2018 05/2018
Unemployed Truckee CA 06/2017 08/2017
Faith Surf Co Honolulu HI 05/2016 06/2017
Chuck's Steakhouse Honolulu HI 03/2016 05/2017
University Of Hawaii Honolulu HI 08/2012 05/2017
Havas Street Llc Honolulu HI 01/2016 09/2016
Bank Of America, N.A. Tempe AZ 08/2022 Present
  • 08/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smithincorporated
    Tempe, AZ
  • 08/2020 → 08/2021
    New York Life Insurance Company
    Glendale, CA
  • 03/2020 → 09/2020
    52 Seasons
    Costa Mesa, CA
  • 11/2017 → 12/2019
    Northstar California
    Truckee, CA
  • 05/2018 → 05/2018
    New Caps Llc
    Portland, OR
  • 06/2017 → 08/2017
    Unemployed
    Truckee, CA
  • 05/2016 → 06/2017
    Faith Surf Co
    Honolulu, HI
  • 03/2016 → 05/2017
    Chuck's Steakhouse
    Honolulu, HI
  • 08/2012 → 05/2017
    University Of Hawaii
    Honolulu, HI
  • 01/2016 → 09/2016
    Havas Street Llc
    Honolulu, HI
  • 08/2022 → Present
    Bank Of America, N.A.
    Tempe, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-11
  • S66 Uniform Combined State Law Examination
    2022-05-11

View on SEC IAPD

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