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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 2026-08-07
CA RA APPROVED 2026-06-24
  • TX RA
    APPROVED
    Since 2026-08-07
  • CA RA
    APPROVED
    Since 2026-06-24

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

500 Newport Center Dr, Newport Beach, CA 92660 • 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
J.P. Morgan Securities, Llc Irvine CA 12/2021 12/2025
Jpmorgan Chase Bank, N.A. Irvine CA 12/2021 08/2023
Cathay Bank Irvine CA 07/2019 07/2021
Unemployed Irvine CA 12/2011 06/2019
Unemployed Irvine CA 08/2021 11/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 01/2026 Present
Jp Morgan Chase Bank, N.A Irvine CA 09/2023 12/2025
Bank Of America, N.A. Newport Beach CA 01/2026 Present
  • 12/2021 → 12/2025
    J.P. Morgan Securities, Llc
    Irvine, CA
  • 12/2021 → 08/2023
    Jpmorgan Chase Bank, N.A.
    Irvine, CA
  • 07/2019 → 07/2021
    Cathay Bank
    Irvine, CA
  • 12/2011 → 06/2019
    Unemployed
    Irvine, CA
  • 08/2021 → 11/2021
    Unemployed
    Irvine, CA
  • 01/2026 → Present
    Newport Beach, CA
  • 09/2023 → 12/2025
    Jp Morgan Chase Bank, N.A
    Irvine, CA
  • 01/2026 → Present
    Bank Of America, N.A.
    Newport Beach, CA
Other Businesses

I*3681271 Entity Type: Entity For Profit Name of OBA: Life Solution Corporation Address: irvine, California, 92620 Investment Related: No Position, Title, Association: Director Employee Start Date: 09/14/2022 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Education Company for elementary student English class but not in running now President in business

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-06-24
S63 Uniform Securities Agent State Law Examination 2022-04-22
  • S66 Uniform Combined State Law Examination
    2026-06-24
  • S63 Uniform Securities Agent State Law Examination
    2022-04-22
Other Names
  • Carol Li

View on SEC IAPD

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