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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 2024-02-29
CA RA APPROVED 2024-01-23
  • TX RA
    APPROVED
    Since 2024-02-29
  • CA RA
    APPROVED
    Since 2024-01-23

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • 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
Pruco Securities Llc Irvine CA 09/2022 12/2023
The Butchery Quality Meats Costa Mesa CA 09/2020 12/2021
Lifetime Fitness And Athletics Laguna Niguel CA 01/2019 12/2019
Paris Baguette Aliso Viejo CA 05/2018 12/2018
Unemployed Aliso Viejo CA 01/2020 09/2020
Unemployed Aliso Viejo CA 01/2012 05/2018
California State University Long Beach Long Beach CA 08/2018 07/2022
The Prudential Insurance Company Of America Irvine CA 11/2022 12/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seal Beach CA 01/2024 Present
Bank Of America N.A. Seal Beach CA 02/2024 Present
  • 09/2022 → 12/2023
    Irvine, CA
  • 09/2020 → 12/2021
    The Butchery Quality Meats
    Costa Mesa, CA
  • 01/2019 → 12/2019
    Lifetime Fitness And Athletics
    Laguna Niguel, CA
  • 05/2018 → 12/2018
    Paris Baguette
    Aliso Viejo, CA
  • 01/2020 → 09/2020
    Unemployed
    Aliso Viejo, CA
  • 01/2012 → 05/2018
    Unemployed
    Aliso Viejo, CA
  • 08/2018 → 07/2022
    California State University Long Beach
    Long Beach, CA
  • 11/2022 → 12/2023
    The Prudential Insurance Company Of America
    Irvine, CA
  • 01/2024 → Present
    Seal Beach, CA
  • 02/2024 → Present
    Bank Of America N.A.
    Seal Beach, CA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-10-24
S65 Uniform Investment Adviser Law Examination 2022-09-15
  • S63 Uniform Securities Agent State Law Examination
    2022-10-24
  • S65 Uniform Investment Adviser Law Examination
    2022-09-15
Other Names
  • Liam D King
  • Liam David King

View on SEC IAPD

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