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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 2023-04-14
CA RA APPROVED 2023-03-10
  • TX RA
    APPROVED
    Since 2023-04-14
  • CA RA
    APPROVED
    Since 2023-03-10

Branch Locations

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

31902 Del Obispo St, San Juan Capistrano, CA 92675 • 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 Mission Viejo CA 06/2015 Present
Tortilla Republic Laguna Beach CA 01/2013 01/2018
Bank Of America, N.A. Mission Viejo CA 02/2023 Present
Other Businesses

I*1254276For profit or not for profit: Name of outside business organization: Rental Property 2Investment related: NAddress of business: Mission Viejo, California, 92630Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 9/1/2019Number of hours devoted: 1 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: ,I*2056311, Entity Type Fiduciary, Name of OBA: C P Seperate Trust Address: Mission Viejo, California, 92671 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 24-Aug-2024 No Hours: 1 yearly No Hours during trading: 0 Duties:I*2056310, Entity Type Fiduciary, Name of OBA: N family Trust Address: Costa Mesa, California, 92626 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 10-Apr-2020 No Hours: 1 yearly No Hours during trading: 0 Duties: I*3742304 Entity Type: Entity For Profit Name of OBA: Property Management Address: mission viejo, California, 92691 Investment Related: No Position, Title, Association: Owner Employee Start Date: 06/01/2026 Number of Hours: 1, Weekly Number of Hours during trading: 0, Weekly Duties: Property management of my own rental properties accounting and collecting for expenses and revenue

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-09
  • S66 Uniform Combined State Law Examination
    2023-03-09

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