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Ricardo Rosas

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Baldwin Park, CA

West Covina, 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
TX RA APPROVED 2020-12-15
CA RA APPROVED 2020-11-18
  • TX RA
    APPROVED
    Since 2020-12-15
  • CA RA
    APPROVED
    Since 2020-11-18

Branch Locations

14401 Ramona Blvd, Baldwin Park, CA 91706 • United States

150 S California Ave, West Covina, CA 91790 • 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
Jp Morgan Chase Bank La Verne CA 07/2015 09/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Covina CA 06/2019 Present
Bank Of America N.A. Covina CA 06/2019 Present
Wells Fargo Bank Na El Monte CA 09/2018 06/2019
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-17
S63 Uniform Securities Agent State Law Examination 2015-09-14
  • S66 Uniform Combined State Law Examination
    2020-11-17
  • S63 Uniform Securities Agent State Law Examination
    2015-09-14
Other Names
  • Rick Rosas

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · BALDWIN PARK, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Baldwin Park, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WEST COVINA, CA
LPL FINANCIAL LLC · WEST COVINA, CA
J.P. MORGAN SECURITIES LLC · WEST COVINA, CA
OSAIC WEALTH, INC. · WEST COVINA, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · West Covina, CA
LPL FINANCIAL LLC · COVINA, CA

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