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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 2005-02-10
CA RA APPROVED 2003-07-22
  • TX RA
    APPROVED
    Since 2005-02-10
  • CA RA
    APPROVED
    Since 2003-07-22

Branch Locations

2998 Douglas Blvd, Roseville, CA 95661 • United States

Sacramento, CA • 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 Inc. Folsom CA 04/2003 Present
Bank Of America,Na Folsom CA 08/2009 Present
  • 04/2003 → Present
    Merrill Lynch, Pierce, Fenner & Smith Inc.
    Folsom, CA
  • 08/2009 → Present
    Bank Of America,Na
    Folsom, CA
Other Businesses

I*81105 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FRENCH RENTAL PROPERTY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: MOUZENS, 5062 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 3/1/2013 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENT OUT FRENCH PROPERTY, MAINTAIN PROPERTY, PAY PROPERTY TAXES, PAY FRENCH MORTGAGE I*2143269, Entity Type: Fiduciary, Name of OBA: C L, Address: Carmichael, California, 95608, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 27-Dec-2024, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-14
S63 Uniform Securities Agent State Law Examination 1994-06-03
  • S66 Uniform Combined State Law Examination
    2003-05-14
  • S63 Uniform Securities Agent State Law Examination
    1994-06-03
Other Names
  • Dan Lowe

View on SEC IAPD

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