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Jason Douglas Lock

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, CA

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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 2012-11-02
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-11-02
  • CA RA
    APPROVED
    Since 2009-10-23

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 10/2009 Present
Bank Of America, N.A. Glendale CA 05/2011 Present
Previous Registrations
  • 2005-09-15 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Pasadena, CA
    Pasadena, CA
  • 2002-08-07 → 2005-09-19
    Wells Fargo Investments, Llc
    Valencia, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-09-26
S63 Uniform Securities Agent State Law Examination 1991-08-23
  • S65 Uniform Investment Adviser Law Examination
    2002-09-26
  • S63 Uniform Securities Agent State Law Examination
    1991-08-23

View on SEC IAPD

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