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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 2022-07-14
CA RA APPROVED 2022-05-16
  • TX RA
    APPROVED
    Since 2022-07-14
  • CA RA
    APPROVED
    Since 2022-05-16

Branch Locations

500 Newport Center Dr Preferred Investment Sales, Newport Beach, CA 92660 • United States

400 Broadway St Preferred Investment Sales, Chico, CA 95928 • 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 & Smith Incorporated Newport Beach CA 12/2020 Present
Bank Of America, N.A. Newport Beach CA 12/2020 Present
Wells Fargo Fountain Valley CA 03/2018 12/2020
Chevron Stations, Inc. Tustin CA 07/2017 03/2018
Unemployed (Student Status) Fullerton CA 10/2015 07/2017
  • 12/2020 → Present
    Newport Beach, CA
  • 12/2020 → Present
    Bank Of America, N.A.
    Newport Beach, CA
  • 03/2018 → 12/2020
    Wells Fargo
    Fountain Valley, CA
  • 07/2017 → 03/2018
    Chevron Stations, Inc.
    Tustin, CA
  • 10/2015 → 07/2017
    Unemployed (Student Status)
    Fullerton, CA
Other Businesses

I*3297296, Entity Type: Entity For Profit,Entity Publicly Traded, Name of OBA: Courier, Address: San Francisco, California, 94105, Investment Related: N, Position, Title, Association: Employee, Employee State Date: 12/27/2025, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties: Being a courier, DoorDash is a courier/delivery enablement business.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-13
  • S66 Uniform Combined State Law Examination
    2022-05-13

View on SEC IAPD

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