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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 2026-06-17
  • CA RA
    APPROVED
    Since 2026-06-17

Branch Locations

2815 Townsgate Rd, Westlake Village, CA 91361 • United States

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
1St Century Bank Los Angeles CA 01/2016 10/2018
Citgroup Los Angeles CA 11/2018 06/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 08/2019 03/2020
Unemployed Los Angeles CA 06/2019 08/2019
Bank Of America, N.A. Los Angeles CA 10/2019 03/2020
Citigroup Los Angeles CA 03/2020 06/2026
Merrill Lynch, Pierce, Fenner & Smith Incorporated Westlake Village CA 06/2026 Present
Previous Registrations
  • 2020-04-13 → 2026-06-12
    Westlake Village, CA
    Newbury Park, CA
    Woodland Hills, CA
    Los Angeles, CA
    Burbank, CA
    Los Angeles, CA
    Fort Mill, SC
    Fountain Valley, CA
    Whittier, CA
    El Monte, CA
    San Antonio, TX
    Agoura Hills, CA
    Newbury Park, CA
    Woodland Hills, CA
    Calabasas, CA
    Fountain Valley, CA
    Newbury Park, CA
    Agoura Hills, CA
    Pasadena, CA
  • 2019-10-02 → 2020-04-01
    Beverly Hills, CA
    New York, NY
Other Businesses

I*430681 Entity Type: Entity Charitable Name of OBA: British American Business Council Los Angeles Address: Los Angeles, California, 91361 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 01/16/2017 Number of Hours: 10, Yearly Number of Hours during trading: 0, Yearly Duties: Attending board meetings to plan and discuss upcoming events.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-10-01
  • S66 Uniform Combined State Law Examination
    2019-10-01

View on SEC IAPD

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