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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 2025-10-27
  • CA RA
    APPROVED
    Since 2025-10-27

Branch Locations

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
Pepperdine University Malibu CA 08/2017 12/2019
Ucla Los Angeles CA 06/2016 07/2017
Pepperdine University Malibu CA 01/2018 08/2018
Lpl Financial Manhattan Beach CA 08/2018 11/2018
Unemployment Pasadena CA 07/2017 08/2017
Unemployment Los Angeles CA 12/2019 10/2020
Equitable Advisors Llc New York NY 11/2020 03/2021
Pruco Securities Llc Sherman Oaks CA 03/2021 04/2022
The Prudential Insurance Company Of America Sherman Oaks CA 04/2021 04/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Beverly Hills CA 04/2022 01/2025
Morgan Stanley Pasadena CA 02/2025 10/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 10/2025 Present
Bank Of America, N.A. Los Angeles CA 11/2025 Present
Previous Registrations
Other Businesses

Name of OBA: XR Media, Inc; Address: Valley Village, California, 91607 Investment Related: No, Position, Title, Association: CEO/Owner; Employee Start Date: 2016 No Hours: 0 No Hours during trading: 0 Duties: Owner -Check writing, Bill Pay, Debit Card.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-23
  • S66 Uniform Combined State Law Examination
    2020-10-23
Other Names
  • Stephy Liu

View on SEC IAPD

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