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Oscar A Soriano Rivera

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Encino, 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 2019-08-01
CA RA APPROVED 2019-06-21
  • TX RA
    APPROVED
    Since 2019-08-01
  • CA RA
    APPROVED
    Since 2019-06-21

Branch Locations

16830 Ventura Blvd, Encino, CA 91436 • 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 Simi Valley CA 09/2011 Present
Bank Of America, N.A. Simi Valley CA 09/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-20
  • S66 Uniform Combined State Law Examination
    2019-06-20
Other Names
  • Oscar Soriano
  • Oscar Alexis Soriano
  • Oscar Alexis Soriano Rivera

View on SEC IAPD

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GOODSTEIN WEALTH MANAGEMENT LLC · ENCINO, CA
PORTFOLIO DESIGN LABS, LLC · ENCINO, CA
WILLNER & HELLER LLC · ENCINO, CA
WEALTH MANAGEMENT PARTNERS OF LOS ANGELES · ENCINO, CA
FINANCIAL PLANNING FOR GENERATIONS, INC. · ENCINO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ENCINO, CA
WELLS FARGO CLEARING SERVICES, LLC · ENCINO, CA
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