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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 2023-04-14
  • CA RA
    APPROVED
    Since 2023-04-14

Branch Locations

500 Newport Ctr Dr, Newport Beach, CA 92660 • 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
Bank Of America Newport Beach CA 07/2021 Present
Mufg Un Ion Bank, N.A. Irvine CA 10/2004 07/2021
  • 07/2021 → Present
    Bank Of America
    Newport Beach, CA
  • 10/2004 → 07/2021
    Mufg Un Ion Bank, N.A.
    Irvine, CA
Other Businesses

I*943298 For profit or not for profit: Entity For Profit Name of outside business organization: SEF Ridgeway LLC Investment related: N Address of business: Irvine, California, 92602 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 8/2/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Member

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-18
  • S66 Uniform Combined State Law Examination
    2022-11-18

View on SEC IAPD

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