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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 2008-12-19
CA RA APPROVED 2008-12-09
  • TX RA
    APPROVED_RES
    Since 2008-12-19
  • CA RA
    APPROVED
    Since 2008-12-09

Branch Locations

701 B St, San Diego, CA 92101 • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 San Diego CA 12/2008 Present
Bank Of America, Na San Diego CA 09/2009 Present
  • 12/2008 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    San Diego, CA
  • 09/2009 → Present
    Bank Of America, Na
    San Diego, CA
Previous Registrations
Other Businesses

I*846241 For profit or not for profit: Entity For Profit Name of outside business organization: Los Angeles Chargers Investment related: N Address of business: Costa Mesa, California, 92626 Nature of business: ["Limited Liability Company"] Position, title, association: ["Employee"], Start date of relationship: 8/7/2022 Number of hours devoted: 6 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Statistics Crew Member. Review yardage in game. Review DVR replays. Input stats in computer. I*20192 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SAN DIEGO STATE UNIVERSITY INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN DIEGO, CALIFORNIA 92182 NATURE OF BUSINESS: OTHER,CALIFORNIA STATE UNIVERSITY POSITION, TITLE, ASSOCIATION: OTHER, I DO STATS FOR THE FOOTBAL AND BASKETBALL TEAMS START DATE OF RELATIONSHIP: 9/1/2009 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TAKE STATS DURING COLLEGE GAMES AT HOME STATISTICS PERSON FOR FOOTBALL, BASKETBALL I*119756 For profit or not for profit: Non-Profit Organization Name of outside business organization: San Diego Bowl Game Association Investment related: N Address of business: San Diego, California 92108 Nature of business: Corporation, Position, title, association: Part-Time, Start date of relationship: 12/31/2018 Number of hours devoted: 6 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: College Football Bowl Game. I will be doing Stats. I*125522 For profit or not for profit: For-Profit Organization Name of outside business organization: University of San Diego Investment related: N Address of business: San Diego, California 92110 Nature of business: Other,Private University Position, title, association: Part-Time, Start date of relationship: 8/31/2019 Number of hours devoted: 15 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Stat Crew for Football, Basketball, possible other Sports to be determined. I*548340 For profit or not for profit: Name of outside business organization: Grossmont Cuyamaca Community College District Investment related: N Address of business: El Cajon, California, 92020 Nature of business: ["School, College or University"] Position, title, association: ["Other"], Start date of relationship: 11/2/2021 Number of hours devoted: 8 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Scorekeeper/Stats, Scorekeeper/Stats for Men's and Women's Basketball as needed I*777229 For profit or not for profit: Entity Charitable Name of outside business organization: National Collegiate Athletic Association Investment related: N Address of business: Indianapolis, Indiana, 46204 Nature of business: ["School, College or University"] Position, title, association: ["Employee"], Start date of relationship: 3/18/2022 Number of hours devoted: 25 hour(s) Yearly Number of hours devoted during trading hours: 4 Duties: , Statistics Crew for the NCAA National Tournament

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-10-02
S63 Uniform Securities Agent State Law Examination 1992-09-21
  • S65 Uniform Investment Adviser Law Examination
    1992-10-02
  • S63 Uniform Securities Agent State Law Examination
    1992-09-21

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