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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_RES 2020-02-26
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2020-02-26
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

4900 Hopyard Rd, Pleasanton, CA 94588 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Ramon CA 02/1990 Present
Bank Of America,Na Pleasantson CA 09/2009 Present
Other Businesses

I*1801262, Entity Type, Name of OBA: Rental Property 1 Address: San Mateo, CA, 94403 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 07/01/2024 No Hours: 1 Monthly No Hours during trading: 0 Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-22
S63 Uniform Securities Agent State Law Examination 1990-05-30
  • S65 Uniform Investment Adviser Law Examination
    1994-11-22
  • S63 Uniform Securities Agent State Law Examination
    1990-05-30

View on SEC IAPD

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