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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 2023-01-29
  • CA RA
    APPROVED
    Since 2023-01-29

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • United States

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 12/2021 Present
Bank Of America Los Angeles CA 06/2005 11/2021
Other Businesses

I*1437292 For profit or not for profit: Name of outside business organization: Rental Property 3 Investment related: N Address of business: los angeles, California, 90013, United States Nature of business: Position, title, association: Sole owner, Start date of relationship: 7/1/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-14
  • S66 Uniform Combined State Law Examination
    2023-01-14

View on SEC IAPD

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