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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 2013-02-07
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2013-02-07
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

520 Newport Center Dr, Newport Beach, CA 92660 • United States

Walnut, 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 Incorporated Irvine CA 10/2009 Present
Previous Registrations
  • 1998-05-12 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Newport Beach, CA
    Newport Beach, CA
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-24
S63 Uniform Securities Agent State Law Examination 1996-09-26
  • S65 Uniform Investment Adviser Law Examination
    1997-09-24
  • S63 Uniform Securities Agent State Law Examination
    1996-09-26

View on SEC IAPD

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