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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2024-10-08
TX RA APPROVED 2024-02-29
CA RA APPROVED 2023-08-31
  • WI RA
    APPROVED
    Since 2024-10-08
  • TX RA
    APPROVED
    Since 2024-02-29
  • CA RA
    APPROVED
    Since 2023-08-31

Branch Locations

2301 Rosecrans Ave, El Segundo, CA 90245 • 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 El Segundo CA 03/2023 Present
City National Bank El Segundo CA 08/2015 05/2023
Bank Of America N.A. El Segundo CA 08/2023 Present
Other Businesses

I*: 2562307Entity Type: GovernmentalName of OBA: El Segundo Public LibraryAddress: El Segundo, CA 90245Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 7/1/2025Number of Hours: 2 hrs mthlyNumber of Hours during trading: 0 Duties: Library Board of Trustees The Library Board of Trustees advises the City Council and Library Director on matters of library policy, administration, operations and services. Members obtain public input, promote the library within the community and assist with special initiatives. Recent projects include the Nanibah Chacon Mural, Fine Free Children's Library Card, Book to Action series and National Library Week Breakfast. The Board was established by City Council Resolution #3665 on December 4, 1990, pursuant to Education Code Section 18910 et seq. The Board's five-members must be residents of El Segundo (for one year or more) and serve without compensation. Trustees serve three-year terms without term limits. I*4028274, Entity Type: Entity Charitable, Name of OBA: Sharefest, Address: San Pedro, California, 90731, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 04/01/2026, No Hours: 40 Monthly, No Hours during Trading: 0 Monthly, Duties: Assist with fundraising, oversight of the organization, monitor and strengthen the impact of the organization's programs and services. Member of the Board of Directors

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-30
S63 Uniform Securities Agent State Law Examination 2011-01-21
  • S66 Uniform Combined State Law Examination
    2023-08-30
  • S63 Uniform Securities Agent State Law Examination
    2011-01-21
Other Names
  • James M Fenton
  • James Michael Fenton

View on SEC IAPD

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