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Jimi Sidhu

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Walnut Creek, CA

Pasadena, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-08-21
  • CA RA
    APPROVED
    Since 2019-08-21

Branch Locations

1331 N California Blvd, Walnut Creek, CA 94596 • United States

800 E Colorado Blvd, Pasadena, CA 91101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Tee It Up! Dublin CA 08/2009 04/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Palto Alto CA 11/2018 Present
Bank Of America, N.A. Palto Alto CA 11/2018 Present
Jutland Chertock San Ramon CA 04/2017 11/2018
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-18
S63 Uniform Securities Agent State Law Examination 1995-11-29
  • S66 Uniform Combined State Law Examination
    2019-08-18
  • S63 Uniform Securities Agent State Law Examination
    1995-11-29
Other Names
  • Harinder S Sidhu
  • Jimi Singh Sidhu

View on SEC IAPD

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