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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 2022-03-21
  • TX RA
    APPROVED
    Since 2022-04-28
  • CA RA
    APPROVED
    Since 2022-03-21

Branch Locations

50 W San Fernando St, San Jose, CA 95113 • 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 San Jose CA 12/2021 Present
Comforcare Healthcare Santa Cruz CA 06/2015 Present
Bank Of America Morgan Hill CA 05/2020 12/2021
Aveanna Healthcare San Jose CA 04/2019 12/2021
Fred Loya Insurance Gilroy CA 02/2020 06/2020
The Villages Golf And Country Club San Jose CA 01/2020 01/2020
Victory Honda Of Morgan Hill Morgan Hill CA 05/2019 12/2019
Val Strough Honda Seaside CA 02/2019 05/2019
Honda Of Morgan Hill Morgan Hill CA 06/2017 01/2019
Kmart Freedom CA 04/2017 06/2017
Staffmark Scotts Valley CA 04/2017 04/2017
Bank Of America, N.A. San Jose CA 04/2026 Present
  • 12/2021 → Present
    San Jose, CA
  • 06/2015 → Present
    Comforcare Healthcare
    Santa Cruz, CA
  • 05/2020 → 12/2021
    Bank Of America
    Morgan Hill, CA
  • 04/2019 → 12/2021
    Aveanna Healthcare
    San Jose, CA
  • 02/2020 → 06/2020
    Fred Loya Insurance
    Gilroy, CA
  • 01/2020 → 01/2020
    The Villages Golf And Country Club
    San Jose, CA
  • 05/2019 → 12/2019
    Victory Honda Of Morgan Hill
    Morgan Hill, CA
  • 02/2019 → 05/2019
    Val Strough Honda
    Seaside, CA
  • 06/2017 → 01/2019
    Honda Of Morgan Hill
    Morgan Hill, CA
  • 04/2017 → 06/2017
    Kmart
    Freedom, CA
  • 04/2017 → 04/2017
    Staffmark
    Scotts Valley, CA
  • 04/2026 → Present
    Bank Of America, N.A.
    San Jose, CA
Other Businesses

I* 614229 For profit or not for profit: Entity For Profit Name of outside business organization: Carenet Services, Inc. Investment related: no Address of business: Santa Cruz, CA, 95062 Nature of business: Sole Proprietorship Position, title, association: Employee Start date of relationship: 12/01/2021 Number of hours devoted: 70 monthly Number of hours devoted during trading hours: 0 Duties: Carenet Services is a company that helps families who have, children or loved ones, with mental and physical disabilities. In my case, I assist my parents with the care of my younger sister. On the weekends or sometimes after work I stop by so they can do grocery shopping, take care of errands, or just step away from the house. My younger sister can't be left alone because of her medical condition. During the weekends I take care of the chores and laundry for my sister and when I'm done my parents will usually step out for a few hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-18
  • S66 Uniform Combined State Law Examination
    2022-03-18
Other Names
  • Luis Figueroa
  • Luis Fernando Figueroaojeda

View on SEC IAPD

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