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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 2014-10-03
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2014-10-03
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • 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 Pasadena CA 05/1990 Present
Bank Of America, N.A. Pasadena CA 09/2009 Present
Other Businesses

I*20730 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HISTORIC HIGHLANDS NEIGHBORHOOD ASSN. INVESTMENT RELATED: N ADDRESS OF BUSINESS: ELIZABETH 140 S LAKE AVE, PASADENA, PASADENA, CALIFORNIA 91101 NATURE OF BUSINESS: OTHER,COMMUNITY NEIGHBORHOOD ORGANIZATION POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/1/2010 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OFFICER DIRECTOR/BOARD MEMBER COMMUNITY RELATIONS I*104856 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LOS ANGELES ARBORETUM FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: ARCADIA, CALIFORNIA 91007 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 6/1/2017 NUMBER OF HOURS DEVOTED: 12 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE FOUNDATION PROVIDES GARDENS, EDUCATION AND PUBLICATIONS SERVING SO CAL. TRUSTEES SET DIRECTION, RESPONSIBLE FOR GOVERNANCE AND FIDUCIARYOVERSIGHT AND FISCAL STEWARD OF THE LA ARBORETUM I*104849 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: A NOISE WITHIN INVESTMENT RELATED: N ADDRESS OF BUSINESS: PASADENA, CALIFORNIA 91107 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 5/9/2017 NUMBER OF HOURS DEVOTED: 10 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ENTITY IS A THEATER. MY RESPONSIBILITIES WILL BE TO HELP RAISE FUNDS FOR THIS NON PROFIT ORG.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-23
S63 Uniform Securities Agent State Law Examination 1990-08-18
  • S65 Uniform Investment Adviser Law Examination
    1995-03-23
  • S63 Uniform Securities Agent State Law Examination
    1990-08-18
Other Names
  • Diane K Grohulski

View on SEC IAPD

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