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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 2011-03-22
CA RA APPROVED 2011-02-15
  • TX RA
    APPROVED
    Since 2011-03-22
  • CA RA
    APPROVED
    Since 2011-02-15

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 Manhattan Beach CA 11/2010 Present
Bank Of America, N.A. El Segundo CA 05/2011 Present
  • 11/2010 → Present
    Merrill Lynch
    Manhattan Beach, CA
  • 05/2011 → Present
    Bank Of America, N.A.
    El Segundo, CA
Other Businesses

I*1997313, Entity Type Not for profit, Name of OBA: Investments & Wealth Institute Address: Investment Related: No Position, Title, Association: No position or title Employee Start Date: early to mid-October 2024 No Hours: 6 hours once No Hours during trading: 6 hours once Duties: 1. Improve professionalism of our members through educational and certification programs2. Develop and encourage the practice of high standards of professional conduct3. Promote and protect the interests of the profession and the public it serves4. Broaden public understanding of investment consulting and wealth management As a member of the institute (CPWA), I will be asked to write a group of items on my own. The institute calls it Item Writing activities. The activity is more specifically : Exam questions and answer sets (both the correct answer and the three incorrect answers, called distractors) used on the certification exam. They will provide a one-hour interactive training by experts in the field that explains how to write an item before receiving the item-writing assignment. The Institute offers 6 hours of complimentary CE, since it estimates that is the time it would take to accomplish this task.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-04
  • S66 Uniform Combined State Law Examination
    2011-02-04

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