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Jean-Carlos Baez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA

Chandler, AZ

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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 2024-04-26
TX RA APPROVED 2022-05-26
  • CA RA
    APPROVED
    Since 2024-04-26
  • TX RA
    APPROVED
    Since 2022-05-26

Branch Locations

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

2505-2565 W Chandler Blvd Wealth Management Client Care, Chandler, AZ 85224 • 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 Chandler AZ 06/2019 Present
Unemployed San Juan PR 05/2019 06/2019
Walmart San Juan PR 02/2017 05/2019
Mcdonalds San Juan PR 02/2014 02/2017
University Of Puerto Rico Rio Piedras Campus San Juan PR 01/2015 05/2019
  • 06/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Chandler, AZ
  • 05/2019 → 06/2019
    Unemployed
    San Juan, PR
  • 02/2017 → 05/2019
    Walmart
    San Juan, PR
  • 02/2014 → 02/2017
    Mcdonalds
    San Juan, PR
  • 01/2015 → 05/2019
    University Of Puerto Rico Rio Piedras Campus
    San Juan, PR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-25
S63 Uniform Securities Agent State Law Examination 2020-07-08
  • S66 Uniform Combined State Law Examination
    2022-05-25
  • S63 Uniform Securities Agent State Law Examination
    2020-07-08

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
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RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
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