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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 2017-12-22
CA RA APPROVED 2014-01-27
  • TX RA
    APPROVED_RES
    Since 2017-12-22
  • CA RA
    APPROVED
    Since 2014-01-27

Branch Locations

7825 Fay Ave, La Jolla, CA 92037 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated La Jolla CA 10/2013 Present
Bank Of America, N.A. La Jolla CA 04/2014 Present
Other Businesses

I*: 920256For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: No Address: San Diego, CA Position, title, association: Sole owner, Start date of relationship: 8/1/2022Number of hours devoted: 2 hrs Mthly Number of hours devoted during trading hours: 0 Duties: I*: 920257For profit or not for profit: Name of outside business organization: Rental Property 2 Investment related: No Address of business: Big Bear Lake, CA Position, title, association: Sole owner, Start date of relationship: 7/14/2022Number of hours devoted: 1 hr Mthly Number of hours devoted during trading hours: 0 Duties: I*: 1397421For profit or not for profit: Name of outside business organization: Rental Property 3 Investment related: No Address of business: San Diego, CA 92115 Position, title, association: Sole owner, Start date of relationship: 8/1/2023Number of hours devoted: 12 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: I*: 2050257 Entity Type: LLC Name of OBA: Impact Wealth Management LLC Address: San Diego, CA Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 10/2024 Number of Hours: 2 hrs mthly Number of Hours during trading: 0 Duties: Sole owner of LLC entity, meant to limit personal liability

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-24
  • S66 Uniform Combined State Law Examination
    2014-01-24
Other Names
  • John Jacob Brow

View on SEC IAPD

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