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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2020-02-26
TX RA APPROVED_RES 2010-04-05
CA RA APPROVED 2006-11-13
  • WA RA
    APPROVED
    Since 2020-02-26
  • TX RA
    APPROVED_RES
    Since 2010-04-05
  • CA RA
    APPROVED
    Since 2006-11-13

Branch Locations

5951 La Sendita, Rancho Santa Fe, CA 92067 • United States

6006 El Tordo, Rancho Santa Fe, CA 92067 • 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 San Diego CA 08/2006 Present
Bank Of America, N.A. San Diego CA 09/2009 Present
Other Businesses

I*79679FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTYINVESTMENT RELATED: NADDRESS OF BUSINESS:WEST LAKE CANANDAIGUA, NEW YORK 14424NATURE OF BUSINESS: SOLE PROPRIETORSHIP,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 3/1/2014NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THIS IS OUR SECOND HOME WHICH WE RENT OUT WHEN WE ARE NOT THERE. MY WIFE AND I TAKE RESERVATIONS. I*4066324, Entity Type Entity For Profit, Name of OBA: Baja Excursions LLC Address: DenverColorado80206 Investment Related: No Position, Title, Association: Owner Employee Start Date: 03/20/2026 No Hours: 1 monthly No Hours during trading: 0 Duties: Ownership of the vessel only. At this time there is no responsibility for business operations. This is a single asset LLC that holds a sailing vessel. I am buying the single asset LLC to acquire the vessel.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-10
  • S66 Uniform Combined State Law Examination
    2006-11-10
Other Names
  • Josh Caleb Rayburn

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