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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-05-26 |
| CA | RA | APPROVED | 2016-05-25 |
Branch Locations
2049 Century Park E Division - Pacific Coast, Los Angeles, CA 90067 • United States
1331 N California Blvd, Walnut Creek, CA 94596 • United States
Vacaville, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch Pierce Fenner And Smith | Walnut Creek | CA | 05/2016 | Present |
Status: APPRVDI*1322303For profit or not for profit: Entity GovernmentalName of outside business organization: FINRAInvestment related: NAddress of business: Washington, District of Columbia, 20006, United StatesNature of business: ["Business or Industry Organization"]Position, title, association: ["Other"], Start date of relationship: 6/15/2023Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: panel member, Sit on panel to arbitrate financial services disputes. I*1997282, Entity Type Entity For Profit, Name of OBA: Lisa Smith Life Coaching Address: VacavilleCalifornia95688 Investment Related: No Position, Title, Association: Owner, Consultant/Independent Contractor Employee Start Date: 09/15/2024 No Hours: 10 Monthly No Hours during trading: 0 Duties: Life coach
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-01 |
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