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Ernest Frederick Martinez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Laguna Niguel, 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 2012-06-15
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-15
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

28202 Cabot Rd, Laguna Niguel, CA 92677 • 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 Laguna Niguel CA 10/2009 Present
Bank Of America, N.A. Laguna Niguel CA 05/2011 Present
Previous Registrations
  • 2000-09-22 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Laguna Niguel, CA
    Laguna Niguel, CA
    Dana Point, CA
    Fullerton, CA
    Fullerton, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-08
S63 Uniform Securities Agent State Law Examination 1991-10-03
  • S65 Uniform Investment Adviser Law Examination
    1994-02-08
  • S63 Uniform Securities Agent State Law Examination
    1991-10-03

View on SEC IAPD

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