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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 2012-10-10
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-10-10
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pasadena CA 10/2009 Present
Bank Of America,N.A. Pasadena CA 06/2011 Present
Previous Registrations
  • 2007-01-05 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Pasadena, CA
Other Businesses

I*2048318, Entity Type Fiduciary, Name of OBA: L Family Trust Dated 06/10/2001Address: Duarte, California, 91010 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 15-Oct-2029 No Hours: 0 No Hours during trading: 0 Duties:I*2049305, Entity Type Fiduciary, Name of OBA: L Family Trust Dated 06/10/2001Address: Duarte, California, 91010 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 15-Oct-2029 No Hours: 0 No Hours during trading: 0 Duties:I*2049303, Entity Type Fiduciary, Name of OBA: L Family Trust Dated 06/10/2001Address: Duarte, California, 91010 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 15-Oct-2029 No Hours: 0 No Hours during trading: 0 Duties: I*3706276 Entity Type: N/A Name of OBA: I S L Address: Pasadena, California, 91103 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 02/05/2026 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Parents I*3711271 Entity Type: N/A Name of OBA: I L Address: Pasadena, California, 91103 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 02/05/2026 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Parents

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-29
S63 Uniform Securities Agent State Law Examination 1993-10-22
  • S65 Uniform Investment Adviser Law Examination
    2001-08-29
  • S63 Uniform Securities Agent State Law Examination
    1993-10-22
Other Names
  • Norman Santos Labrador

View on SEC IAPD

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