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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 2025-01-03
CA RA APPROVED 2024-11-14
  • TX RA
    APPROVED
    Since 2025-01-03
  • CA RA
    APPROVED
    Since 2024-11-14

Branch Locations

1516 Solano Ave, Albany, CA 94707 • United States

496 Lake Park Ave, Oakland, CA 94610 • 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 El Cerrito CA 08/2012 Present
Bank Of America, N.A. El Cerrito CA 11/2024 Present
Other Businesses

I*: 2251283 Entity Type: For Profit, Entity Publicly Traded Name of OBA: Uber Address: San Francisco, CA 94158 Investment Related: No Position, Title, Association: Consultant/ Independent Contractor Employee Start Date: 3/30/2025 Number of Hours: 6 hrs wkly Number of Hours during trading: 0 Duties: I would like to drive for Uber on the weekend.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-27
  • S66 Uniform Combined State Law Examination
    2024-10-27

View on SEC IAPD

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