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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_RES 2016-08-22
CA RA APPROVED 2013-07-22
  • TX RA
    APPROVED_RES
    Since 2016-08-22
  • CA RA
    APPROVED
    Since 2013-07-22

Branch Locations

24200 Magic Mountain Pkwy, Santa Clarita, CA 91355 • United States

Fresno, CA • 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 Beverly Hills CA 04/2009 Present
Bank Of America, N.A. Northridge CA 09/2013 Present
Other Businesses

I*11039For profit or not for profit: Name of outside business organization: Rental PropertyInvestment related: Address of business:Fresno, California 93705Nature of business: Position, title, association: , Start date of relationship: 5/27/2021Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 I*: 399558 Entity Type: Entity Charitable Name of OBA: Fresno Reel Pride Address: FresnoCalifornia93744 Investment Related: n Position, Title, Association: Board Member Employee Start Date: 08/06/2025 No Hours: 2hr/wk No Hours during trading:0 Duties: LGBTQ+ Film Festival I will be assisting with the general operations of this year's fesitval with is scheduled to from Sept 20-22.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-07-18
  • S66 Uniform Combined State Law Examination
    2013-07-18
Other Names
  • Joshua Dickey

View on SEC IAPD

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