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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 2025-03-05
CA RA APPROVED 2024-12-07
  • TX RA
    APPROVED
    Since 2025-03-05
  • CA RA
    APPROVED
    Since 2024-12-07

Branch Locations

6678 Alhambra Ave, Martinez, CA 94553 • United States

1330 N Main St, Walnut Creek, CA 94596 • 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 Walnut Creek CA 02/2019 Present
Diablo Choral Artists Walnut Creek CA 02/2018 Present
Trinity Lutheran Church Pleasanton CA 02/2019 Present
Gf Industries Llc San Diego CA 05/2017 12/2017
San Diego Opera San Diego CA 12/2015 09/2017
The Village Community Presbyterian Church San Diego CA 02/2015 12/2017
Bank Of America, N.A. Walnut Creek CA 11/2024 Present
  • 02/2019 → Present
    Walnut Creek, CA
  • 02/2018 → Present
    Diablo Choral Artists
    Walnut Creek, CA
  • 02/2019 → Present
    Trinity Lutheran Church
    Pleasanton, CA
  • 05/2017 → 12/2017
    Gf Industries Llc
    San Diego, CA
  • 12/2015 → 09/2017
    San Diego Opera
    San Diego, CA
  • 02/2015 → 12/2017
    The Village Community Presbyterian Church
    San Diego, CA
  • 11/2024 → Present
    Bank Of America, N.A.
    Walnut Creek, CA
Other Businesses

I*961405, Entity Type: Charitable: Name: Diablo Choral Artists, Investment-related - No, Address: Walnut Creek, CA, 94596, Nature of the other business - Choir, Your position, relationship: Other, Start date: 01/08/2018, Approximate number of hours/month you devote to the other business: 3hrs/Weekly, Hours you devote during securities trading hours: 0 Duties: Presents significant works of sacred and secular choral music; inspires and uplifts audiences through live performances of artistic excellence; and nurtures the appreciation and enjoyment of choral music in people of all ages and cultures. I*2180293, Entity Type: Entity For Profit, Name of OBA: Yo Oh, Address: Livermore, California, 94551, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 02/01/2025, No Hours: 20 Yearly, No Hours during Trading: 0 Duties: Sole Proprietorship to receive compensation for vocal performances. Expected responsibilities will be to perform (sing) in concerts/events as well as receiving compensation for performances.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-06
  • S66 Uniform Combined State Law Examination
    2024-12-06

View on SEC IAPD

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