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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 2019-07-05
CA RA APPROVED 2019-07-03
  • TX RA
    APPROVED
    Since 2019-07-05
  • CA RA
    APPROVED
    Since 2019-07-03

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • 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 Los Angeles CA 10/2022 Present
Bank Of America N.A. Los Angeles CA 10/2022 Present
Merrill Lynch Pierce Fenner & Smith Los Angeles CA 04/2013 10/2022
  • 10/2022 → Present
    Merrill Lynch Pierce Fenner & Smith
    Los Angeles, CA
  • 10/2022 → Present
    Bank Of America N.A.
    Los Angeles, CA
  • 04/2013 → 10/2022
    Merrill Lynch Pierce Fenner & Smith
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-01
  • S66 Uniform Combined State Law Examination
    2019-07-01

View on SEC IAPD

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