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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 2016-08-16
CA RA APPROVED 2014-11-26
  • TX RA
    APPROVED_RES
    Since 2016-08-16
  • CA RA
    APPROVED
    Since 2014-11-26

Branch Locations

1424 State St, Santa Barbara, CA 93101 • United States

11811 Bernardo Plaza Ct, San Diego, CA 92128 • 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 Northridge CA 10/2014 Present
Bank Of America, N.A. Northridge CA 10/2014 Present
Previous Registrations
Other Businesses

I*1785270, Entity Type: Entity For Profit, Name of OBA: Perfect Pathology Medical PC, Address: Oxnard, CA, 93030, Investment Related: No, Position, Title, Association: Director, Employee Start Date: 05/05/2022, No Hours: 0.25hrs/Mo, No Hours during trading: 0, Duties: This my wife's medical practice, she's a physician at Dignity Hospital and consults medical labs. This is an S-Corp with no employees, aside from herself. I will be assisting her with basic money movements in/out money market, to/from same name and common owned accounts, check writing, deposits. Responsibilities will be minimal, approximately 1-2 hours per quarter. I*: 2578308 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Westlake Village, CA 91361 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 09/01/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Co-owner with other family members of rental property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-10-01
  • S66 Uniform Combined State Law Examination
    2013-10-01

View on SEC IAPD

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