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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 2025-04-22
CA RA APPROVED 2025-04-04
  • TX RA
    APPROVED
    Since 2025-04-22
  • CA RA
    APPROVED
    Since 2025-04-04

Branch Locations

2221 Douglas Blvd, Roseville, CA 95661 • 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 Sacramento CA 01/2025 Present
Bank Of America Citrus Heights CA 07/2014 01/2025
Bank Of America, N.A. Sacramento CA 02/2025 Present
Other Businesses

I*2181276, Entity Type Entity For Profit, Name of OBA: J S Address: Citrus HeightsCalifornia95610 Investment Related: No Position, Title, Association: Owner Employee Start Date: 01/01/2024 No Hours: 2 monthly No Hours during trading: 0 Duties: I occasionally sell my personal items on eBay. The items that I sell are all my personal items and include collectible vinyl figures, clothing, and shoes. I also sell personal clothing and shoes on other apps or online platforms. Due to the volume and dollar amount of the items sold throughout the year, I have and expect to receive 1099s for 2024 and I expect that may continue as I am still selling some of my personal items through these platforms. I*5178287, Entity Type: , Name of OBA: The S Trust, Address: El Dorado Hills, California, 95762, Investment Related: N, Position, Title, Association: Successor Trustee, Employee Start Date: 08/02/2026, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-03
  • S66 Uniform Combined State Law Examination
    2025-04-03

View on SEC IAPD

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