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Shelby Thai

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

Westminster, CA

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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 2023-01-23
CA RA APPROVED 2022-12-13
  • TX RA
    APPROVED
    Since 2023-01-23
  • CA RA
    APPROVED
    Since 2022-12-13

Branch Locations

500 Newport Ctr Dr, Newport Beach, CA 92660 • United States

8850 Bolsa Ave, Westminster, CA 92683 • 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 Westminister CA 07/2018 Present
Wells Fargo Bank Costa Mesa CA 07/2016 07/2018
California State University Long Beach Long Beach CA 08/2015 05/2018
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-02
  • S66 Uniform Combined State Law Examination
    2022-12-02
Other Names
  • Anh Phuong Thai

View on SEC IAPD

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