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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 2025-10-07
WA RA APPROVED 2025-08-08
  • TX RA
    APPROVED
    Since 2025-10-07
  • WA RA
    APPROVED
    Since 2025-08-08

Branch Locations

415 State Ave, Marysville, WA 98270 • 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
Fidelity Brokerage Services Llc Burlingame CA 09/2015 05/2017
Td Ameritrade Campbell CA 05/2017 07/2019
Charles Schwab & Co., Inc. Campbell CA 07/2019 07/2020
Charles Schwab Bank Campbell CA 07/2019 07/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 06/2025 Present
Deutsche Bank Delhi 02/2023 11/2023
Emkay Global Financial Services Ltd Delhi 07/2022 01/2023
Sanctum Wealth Private Ltd Delhi 03/2021 03/2022
Unemployed Bothell WA 11/2023 05/2025
Unemployed Noida Extension 07/2020 02/2021
Unemployed Noida Extension 04/2022 06/2022
Bank Of America, N.A. Seattle WA 10/2025 Present
  • 09/2015 → 05/2017
    Fidelity Brokerage Services Llc
    Burlingame, CA
  • 05/2017 → 07/2019
    Td Ameritrade
    Campbell, CA
  • 07/2019 → 07/2020
    Campbell, CA
  • 07/2019 → 07/2020
    Charles Schwab Bank
    Campbell, CA
  • 06/2025 → Present
    Seattle, WA
  • 02/2023 → 11/2023
    Deutsche Bank
    Delhi
  • 07/2022 → 01/2023
    Emkay Global Financial Services Ltd
    Delhi
  • 03/2021 → 03/2022
    Sanctum Wealth Private Ltd
    Delhi
  • 11/2023 → 05/2025
    Unemployed
    Bothell, WA
  • 07/2020 → 02/2021
    Unemployed
    Noida Extension
  • 04/2022 → 06/2022
    Unemployed
    Noida Extension
  • 10/2025 → Present
    Bank Of America, N.A.
    Seattle, WA
Previous Registrations
  • 2019-08-19 → 2020-07-30
    Campbell, CA
  • 2017-06-02 → 2019-07-10
    Td Ameritrade, Inc.
    Campbell, CA
  • 2017-06-02 → 2019-07-10
    Td Ameritrade Investment Management, Llc
    Campbell,, CA
  • 2015-10-29 → 2017-05-17
    Burlingame, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-02-19
S65 Uniform Investment Adviser Law Examination 2015-08-27
S63 Uniform Securities Agent State Law Examination 2014-05-12
S63 Uniform Securities Agent State Law Examination 2014-05-12
  • S66 Uniform Combined State Law Examination
    2025-02-19
  • S65 Uniform Investment Adviser Law Examination
    2015-08-27
  • S63 Uniform Securities Agent State Law Examination
    2014-05-12
  • S63 Uniform Securities Agent State Law Examination
    2014-05-12
Other Names
  • Vartika Narayan

View on SEC IAPD

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