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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 2025-09-03
CA RA APPROVED 2025-07-07
  • TX RA
    APPROVED
    Since 2025-09-03
  • CA RA
    APPROVED
    Since 2025-07-07

Branch Locations

13341 Newport Ave, Tustin, CA 92780 • 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 Orange CA 05/2025 Present
Wells Fargo La Habra CA 02/2024 05/2025
Unemployed Chino Hills CA 12/2022 02/2024
University Of California, San Diego La Jolla CA 09/2021 12/2022
Unemployed Beijing 03/2020 09/2021
University Of California, San Diego La Jolla CA 09/2018 03/2020
University Of California, Riverside Riverside CA 09/2016 06/2018
Unemployed Chino Hills CA 06/2016 09/2016
China Merchants Securities Co., Ltd., La Jolla CA 10/2020 07/2021
Bank Of America, N.A. Orange CA 07/2025 Present
  • 05/2025 → Present
    Orange, CA
  • 02/2024 → 05/2025
    Wells Fargo
    La Habra, CA
  • 12/2022 → 02/2024
    Unemployed
    Chino Hills, CA
  • 09/2021 → 12/2022
    University Of California, San Diego
    La Jolla, CA
  • 03/2020 → 09/2021
    Unemployed
    Beijing
  • 09/2018 → 03/2020
    University Of California, San Diego
    La Jolla, CA
  • 09/2016 → 06/2018
    University Of California, Riverside
    Riverside, CA
  • 06/2016 → 09/2016
    Unemployed
    Chino Hills, CA
  • 10/2020 → 07/2021
    China Merchants Securities Co., Ltd.,
    La Jolla, CA
  • 07/2025 → Present
    Bank Of America, N.A.
    Orange, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-26
  • S66 Uniform Combined State Law Examination
    2023-10-26

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