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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 2017-08-29
CA RA APPROVED 2017-07-05
  • TX RA
    APPROVED
    Since 2017-08-29
  • CA RA
    APPROVED
    Since 2017-07-05

Branch Locations

14701 Ventura Blvd, Sherman Oaks, CA 91403 • 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 Los Angeles CA 08/2015 Present
Bank Of America, N.A. Los Angeles CA 08/2015 Present
University Of Arizona Global Campus Chandler AZ 02/2024 08/2025
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-07-03
S63 Uniform Securities Agent State Law Examination 2014-01-08
  • S65 Uniform Investment Adviser Law Examination
    2017-07-03
  • S63 Uniform Securities Agent State Law Examination
    2014-01-08

View on SEC IAPD

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