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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-03-16
  • CA RA
    APPROVED
    Since 2022-03-16

Branch Locations

2049 Century Park E, Los Angeles, CA 90067 • 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 10/2021 Present
San Pasqual Fiduciary Trust Company Los Angeles CA 08/2016 10/2021
Other Businesses

Trustee of an Irrevocable Trust I*2668261, Entity Type: , Name of OBA: KImberly Wood Homeowners Association, Address: VAn Nuys, California, 91405, Investment Related: N, Position, Title, Association: Treasurer, Employee State Date: 07/02/2025, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: Board Member The HOA has a management company called, Higher Grounds Management CO. The management company has sole responsibility over the bank accounts, check writing and all deposits made to the association. - There are no debit card, no checks, or credit cards for the HOA members. - All invoices are uploaded into a portal which then requires two officers to approve all all times (President and Treasurer). There is dual approval required and majority approval of board for everything else. - Other duties involve statement review, budget review (prepared by management company). These are reviewed and approved by all members of the HOA. Currently there are 5 members/officers serving the board. - Higher Grounds hires and vets all vendors for the HOA. Homeowners association

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-15
  • S66 Uniform Combined State Law Examination
    2022-03-15

View on SEC IAPD

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