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Evelyn Vallarta

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Woodland Hills, CA

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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 2020-03-23
CA RA APPROVED 2020-03-10
  • TX RA
    APPROVED
    Since 2020-03-23
  • CA RA
    APPROVED
    Since 2020-03-10

Branch Locations

21215 Burbank Blvd, Woodland Hills, CA 91367 • 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
Wells Fargo Bank Na Northridge CA 10/2011 10/2019
Wells Fargo Clearing Services Llc Northridge CA 06/2018 10/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Woodland Hills CA 12/2019 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-03-09
S63 Uniform Securities Agent State Law Examination 2018-08-10
  • S65 Uniform Investment Adviser Law Examination
    2020-03-09
  • S63 Uniform Securities Agent State Law Examination
    2018-08-10
Other Names
  • Evelyn Moreno

View on SEC IAPD

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Other Offices

MERCER GLOBAL ADVISORS INC. · Woodland Hills, CA
INDEPENDENT FINANCIAL GROUP, LLC · Woodland Hills, CA
VENTURA ADVISORS · WOODLAND HILLS, CA
LPL FINANCIAL LLC · WOODLAND HILLS, CA
LINCOLN INVESTMENT · WOODLAND HILLS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Woodland Hills, CA
CITIGROUP GLOBAL MARKETS INC. · Woodland Hills, CA
CHELSEA MANAGEMENT COMPANY · WOODLAND HILLS, CA

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