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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_RES 2022-08-16
CA RA APPROVED 2022-07-14
  • TX RA
    APPROVED_RES
    Since 2022-08-16
  • CA RA
    APPROVED
    Since 2022-07-14

Branch Locations

555 Capitol Mall, Sacramento, CA 95814 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • 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 Gold River CA 04/2015 Present
Bank Of America N.A. Gold River CA 04/2015 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Redding CA 01/2022 Present
Bank Of America, N.A. Redding CA 01/2022 Present
Other Businesses

I*940289, Name of OBA: XCEL LLC Address: north highlands, CA Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 1/25/2021 No Hours: 4 Weekly No Hours during trading: 0 Duties: Online retails sales of collectible trading cards. Physical and Online sales of live aquatic fish. Responsibilities include listing/advertising, packaging items for shipping, and aquatic tank maintenance. I*3523298 Entity Type: N/A Name of OBA: M Y Address: FRESNO, California, 95825 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 01/13/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Child/Grandchild I*3523299 Entity Type: N/A Name of OBA: V V Address: ELK GROVE, California, 95758 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 01/30/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Siblings I*3523297 Entity Type: N/A Name of OBA: M Y Address: FRESNO, California, 95825 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 01/13/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Child/Grandchild

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-12
  • S66 Uniform Combined State Law Examination
    2022-07-12

View on SEC IAPD

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