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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-02-07 |
| CA | RA | APPROVED | 2009-10-23 |
Branch Locations
520 Newport Center Dr, Newport Beach, CA 92660 • United States
Walnut, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Irvine | CA | 10/2009 | Present |
I*493934 Entity Type: N/A Name of OBA: M.S. Address:Diamond Bar California Investment Related:No Position, Title, Association:Trustee Start Date:09/26/2025 No Hours: 1 Monthly No Hours during trading:0 Monthly Duties:Trustee for Parents
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-26 |
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