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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 2013-02-15
CA RA APPROVED 2009-10-23
GA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2013-02-15
  • CA RA
    APPROVED
    Since 2009-10-23
  • GA RA
    APPROVED
    Since 2009-10-23

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • United States

San Gabriel, CA • 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 Huntington Park CA 10/2009 Present
Bank Of America,N.A. Pasadena CA 06/2011 Present
Previous Registrations
  • 1998-05-12 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Downey, CA
    Huntington Park, CA
    Bell, CA
    Huntington Park, CA
    Downey, CA
    Downey, CA
    City Of Commerce, CA
    City Of Commerce, CA
Other Businesses

I*672264For profit or not for profit: Entity For ProfitName of outside business organization: Eproperties - Arleta LLCInvestment related: NAddress of business: San Gabriel, California, 91775Nature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 2/1/2022Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , LLC was created for liability purposes. No other business activity will be done outside of managing existing rental property. I*8128For profit or not for profit: Name of outside business organization: Carlos A Escobar TrustInvestment related: Address of business:Arleta, California 91331Nature of business: ,Position, title, association: , Start date of relationship: 1/1/2019Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0Duties: I*3011271, Entity Type: Entity For Profit, Name of OBA: Inversiones Legado Escoli, Sociedad Anonima, Address: Guatemala, , 01001, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 09/01/2026, No Hours: 20 Yearly, No Hours during Trading: 0 Yearly, Duties: Monitor real estate holdings including maintenance and rental income.This is an entity to own real estate holdings

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-16
S63 Uniform Securities Agent State Law Examination 1993-04-12
  • S65 Uniform Investment Adviser Law Examination
    1997-09-16
  • S63 Uniform Securities Agent State Law Examination
    1993-04-12

View on SEC IAPD

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