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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 2019-08-20
CA RA APPROVED 2019-08-19
  • TX RA
    APPROVED
    Since 2019-08-20
  • CA RA
    APPROVED
    Since 2019-08-19

Branch Locations

1424 State St, Santa Barbara, CA 93101 • 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 Santa Barbara CA 07/2013 Present
Other Businesses

I*3103282 Entity Type: N/A Name of OBA:ORTHOGONAL CAPITAL LLC Address:NEWARK Delaware Investment Related:No Position, Title, Association:N/A Start Date:01/18/2024 No Hours: 0 Yearly No Hours during trading:0 Yearly Duties:NONE. THE PURPOSE OF THIS ENTITY IS TO HOLD PRIVATE INVESTMENTS (PFF LLC, EAJF ESQ FUND LP, AND PEER SPECIAL OPPORTUNITIES FUND LP) TO CREATE DIVERSIFICATION AMONGST INVESTMENTS I*3104292 Entity Type: N/A Name of OBA:THE BAGGINSES FAMILY TRUST Address:SANTA BARBARA California Investment Related:No Position, Title, Association:Co-Trustee Start Date:02/02/2022 No Hours: 0 Yearly No Hours during trading:0 Yearly Duties:Co-Trustee for Self, Spouse

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-17
  • S66 Uniform Combined State Law Examination
    2019-08-17

View on SEC IAPD

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