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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 2022-11-01
CA RA APPROVED 2020-04-22
  • TX RA
    APPROVED_RES
    Since 2022-11-01
  • CA RA
    APPROVED
    Since 2020-04-22

Branch Locations

555 California St, San Francisco, CA 94104 • United States

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
Wells Fargo Bank, N.A. Sacramento CA 08/2005 11/2018
Wells Fargo Advisors Llc Sacramento CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Sacramento CA 11/2016 11/2018
City National Bank Walnut Creek CA 12/2018 03/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 03/2020 Present
Previous Registrations
  • 2018-12-07 → 2020-03-17
    Walnut Creek, CA
  • 2011-01-03 → 2018-11-27
    Sacramento, CA
    Minneapolis, MN
    Roseville, CA
    El Dorado Hills, CA
    Charlotte, NC
    San Francisco, CA
    Minneapolis, MN
  • 2005-10-21 → 2011-01-03
    Wells Fargo Investments, Llc
    Reseda, CA
    Danville, CA
    El Dorado Hills, CA
    Alamo, CA
    Reseda, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-20
  • S66 Uniform Combined State Law Examination
    2005-10-20

View on SEC IAPD

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