David Enrique Marroquin

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-05-20
CA	RA	APPROVED	2025-05-12

TX RA
APPROVED_RES

Since 2025-05-20
CA RA
APPROVED

Since 2025-05-12

Branch Locations

36900 Newark Blvd, Newark, CA 94560 • United States

31800 Alvarado Blvd, Union City, CA 94587 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	San Jose	CA	01/2022	Present
Bank Of America	Palo Alto	CA	01/2022	01/2025
New York Life	San Francisco	CA	11/2020	09/2021
At&T	San Mateo	CA	10/2021	01/2022
Online Trading Academy	San Jose	CA	08/2019	07/2020
Unemployed	Fremont	CA	08/2020	10/2020
Independent Electric Supply	San Leandro	CA	01/2018	07/2019
Creative Outreach Marketing	Fremont	CA	01/2016	08/2019
Aerotek (Sunpower Corp)	San Jose	CA	03/2018	11/2018
Honda Of Stevens Creek	San Jose	CA	04/2014	08/2017
Anything Is Possible Inc	San Jose	CA	10/2020	10/2020
Bank Of America, N.A.	San Jose	CA	02/2025	Present

01/2022 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA
01/2022 → 01/2025

Bank Of America

Palo Alto, CA
11/2020 → 09/2021

New York Life

San Francisco, CA
10/2021 → 01/2022

At&T

San Mateo, CA
08/2019 → 07/2020

Online Trading Academy

San Jose, CA
08/2020 → 10/2020

Unemployed

Fremont, CA
01/2018 → 07/2019

Independent Electric Supply

San Leandro, CA
01/2016 → 08/2019

Creative Outreach Marketing

Fremont, CA
03/2018 → 11/2018

Aerotek (Sunpower Corp)

San Jose, CA
04/2014 → 08/2017

Honda Of Stevens Creek

San Jose, CA
10/2020 → 10/2020

Anything Is Possible Inc

San Jose, CA
02/2025 → Present

Bank Of America, N.A.

San Jose, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-05-09

S66 Uniform Combined State Law Examination

2025-05-09

View on SEC IAPD