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Jose Aun

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

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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 2021-09-15
CA RA APPROVED 2021-09-14
  • TX RA
    APPROVED
    Since 2021-09-15
  • CA RA
    APPROVED
    Since 2021-09-14

Branch Locations

2555-2595 W Chandler Blvd Ci Client Management, Chandler, AZ 85224 • 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
The Vanguard Group, Inc. Scottsdale AZ 08/2020 03/2021
Arizona State Univeristy Tempe AZ 08/2016 05/2020
Hope Christian Church Tempe AZ 05/2019 05/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 03/2021 Present
Unemployed El Paso TX 05/2020 08/2020
Bank Of America, N.A. Chandler AZ 01/2022 Present
  • 08/2020 → 03/2021
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 08/2016 → 05/2020
    Arizona State Univeristy
    Tempe, AZ
  • 05/2019 → 05/2020
    Hope Christian Church
    Tempe, AZ
  • 03/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Chandler, AZ
  • 05/2020 → 08/2020
    Unemployed
    El Paso, TX
  • 01/2022 → Present
    Bank Of America, N.A.
    Chandler, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-09-11
S63 Uniform Securities Agent State Law Examination 2020-09-23
  • S66 Uniform Combined State Law Examination
    2021-09-11
  • S63 Uniform Securities Agent State Law Examination
    2020-09-23
Other Names
  • Jose Aun
  • Jose Aun

View on SEC IAPD

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ADRIENNE TERENA BORCHERS
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SAMUEL J SMITH
RENEE JEAN HRUSKA
ANDREA MICHELLE MCLELLAND
Christine Lynne Lobdell Raney

Other Offices

J.P. MORGAN SECURITIES LLC · CHANDLER, AZ
EDWARD JONES · CHANDLER, AZ
LPL FINANCIAL LLC · CHANDLER, AZ
VAL VISTA CAPITAL MANAGEMENT, LLC · SUN LAKES, AZ
WELLS FARGO CLEARING SERVICES, LLC · CHANDLER, AZ
EDWARD JONES · SUN LAKES, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Chandler, AZ
INDEPENDENT FINANCIAL GROUP, LLC · CHANDLER, AZ

More in Chandler, AZ

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