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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 2024-01-31
CA RA APPROVED 2023-12-20
  • TX RA
    APPROVED
    Since 2024-01-31
  • CA RA
    APPROVED
    Since 2023-12-20

Branch Locations

16830 Ventura Blvd, Encino, CA 91436 • 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 Garden Grove CA 11/2020 Present
New Car Superstore Oxnard CA 07/2020 10/2020
Sae Expression Emeryville CA 06/2018 11/2018
Oakland Acura Oakland CA 02/2017 04/2017
Gilroy Toyota Gilroy CA 04/2015 12/2016
Expression College Emeryville CA 11/2016 12/2019
Unemployed Ojai CA 12/2019 07/2020
  • 11/2020 → Present
    Garden Grove, CA
  • 07/2020 → 10/2020
    New Car Superstore
    Oxnard, CA
  • 06/2018 → 11/2018
    Sae Expression
    Emeryville, CA
  • 02/2017 → 04/2017
    Oakland Acura
    Oakland, CA
  • 04/2015 → 12/2016
    Gilroy Toyota
    Gilroy, CA
  • 11/2016 → 12/2019
    Expression College
    Emeryville, CA
  • 12/2019 → 07/2020
    Unemployed
    Ojai, CA
Other Businesses

Name of the other businessMass ProductionsWhether the business is investment-relatedNOT investment relatedAddress of the other businessCA 91316Nature of the other businessMusic ProductionYour positionMusic ProducerTitle, or relationship with the other businessOwner, Music ProducerStart date of your relationship11/2016Approximate number of hours/month you devote to the other business16 hours per monthNumber of hours you devote to the other business during securities trading hours0Briefly describe your duties relating to the other businessMake music in my bedroom, mixing and mastering I*1806273, Entity Type Entity For Profit, Name of OBA: Mass Productions Address: Van Nuys California 91406 Investment Related: No Position, Title, Association: Other Employee Start Date: 01/01/2020No Hours: 16 Monthly No Hours during trading: 0 Duties: Music production, performance and audio engineering

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-19
  • S66 Uniform Combined State Law Examination
    2023-12-19

View on SEC IAPD

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