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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-31 |
| CA | RA | APPROVED | 2022-05-02 |
Branch Locations
145 S State College Blvd, Brea, CA 92821 • United States
One Bryant Park, New York, NY 10036 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Brea | CA | 10/2003 | 01/2022 |
| Bank Of America, N.A. | Brea | CA | 04/2017 | 01/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Brea | CA | 03/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-10-20 |
| S65 | Uniform Investment Adviser Law Examination | 1995-10-20 |
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