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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 2015-01-05
CA RA APPROVED 2006-01-16
  • TX RA
    APPROVED_RES
    Since 2015-01-05
  • CA RA
    APPROVED
    Since 2006-01-16

Branch Locations

5260 N Palm Ave, Fresno, CA 93704 • 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 Fresno CA 09/2005 Present
Bank Of America, N.A. Fresno CA 08/2009 Present
Other Businesses

I*74037 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SLIM'S FLOORING INC. INVESTMENT RELATED: NO ADDRESS OF BUSINESS: FRESNO, CALIFORNIA 93722 POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 7/25/2014 NUMBER OF HOURS DEVOTED: 5 HRS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COMPANY OWNED BY MYSELF AND MY HUSBAND. THIS IS HIS PRIMARY EMPLOYMENT. WE ARE SUB CHAPTER S AND I AM A SHAREHOLDER. I*95634 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL HOME INVESTMENT RELATED: YES ADDRESS OF BUSINESS: FRESNO, CALIFORNIA 93727 POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 7/7/2016 NUMBER OF HOURS DEVOTED: 2 HRS MTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS AN INVESTMENT PROPERTY THAT MY HUSBAND AND I PURCHASED. MY RESPONSIBILITIES WILL INCLUDE UPKEEP OF PROPERTY. I*559259 Entity Type: For Profit Name of outside business organization: Brunswick Rental Investment related: No Address of business: Fresno, California, 93722 Position, title, association: Owner Start date of relationship: 11/1/2021 Number of hours devoted: 1 hr Mthly Number of hours devoted during trading hours: 0 Duties: Upkeep of property I*: 2929324 Entity Type: Fiduciary role Name of OBA: L. S. II Address: Fresno, CA 93723 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/01/2025 Number of Hours: 2 hrs annually Number of Hours during trading: 2 hrs annually Duties: Power of Attorney/ Child/Grandchild

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-13
  • S66 Uniform Combined State Law Examination
    2006-01-13
Other Names
  • Yvonne R. Guerra
  • Yvonne R Telles

View on SEC IAPD

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