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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 2022-04-28
CA RA APPROVED 2022-04-06
  • TX RA
    APPROVED
    Since 2022-04-28
  • CA RA
    APPROVED
    Since 2022-04-06

Branch Locations

102 E Las Tunas Dr, San Gabriel, CA 91776 • 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 El Monte CA 04/2016 Present
Bank Of America, N.A. El Monte CA 04/2016 Present
Other Businesses

I*828262 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: las vegas, Nevada, 89178 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 4/20/2018 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*828263 For profit or not for profit: Name of outside business organization: Rental Property 2 Investment related: N Address of business: las vegas, Nevada, 89178 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 8/10/2018 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*828264 For profit or not for profit: Name of outside business organization: Rental Property 4 Investment related: N Address of business: las vegas, Nevada, 89113 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 6/1/2022 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*829232 For profit or not for profit: Name of outside business organization: Rental Property 3 Investment related: N Address of business: las vegas, Nevada, 89113 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 9/30/2021 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I*829233 For profit or not for profit: Name of outside business organization: Rental Property 4 Investment related: N Address of business: las vegas, Nevada, 89178 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 1/1/2023 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-02
  • S66 Uniform Combined State Law Examination
    2022-04-02

View on SEC IAPD

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