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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 2023-06-14
CA RA APPROVED 2023-05-01
  • TX RA
    APPROVED
    Since 2023-06-14
  • CA RA
    APPROVED
    Since 2023-05-01

Branch Locations

10046 Bruceville Rd, Elk Grove, CA 95757 • 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 Woodland CA 01/2023 Present
Unemployed Sacramento CA 09/2022 12/2022
Tustin Wing Ferno Llc Orange CA 04/2020 08/2022
Wing Ferno Llc Gardena CA 05/2018 04/2020
Yorhealth Inc. Irvine CA 07/2010 04/2018
Bank Of America, N.A. Woodland CA 03/2023 Present
  • 01/2023 → Present
    Woodland, CA
  • 09/2022 → 12/2022
    Unemployed
    Sacramento, CA
  • 04/2020 → 08/2022
    Tustin Wing Ferno Llc
    Orange, CA
  • 05/2018 → 04/2020
    Wing Ferno Llc
    Gardena, CA
  • 07/2010 → 04/2018
    Yorhealth Inc.
    Irvine, CA
  • 03/2023 → Present
    Bank Of America, N.A.
    Woodland, CA
Other Businesses

I*:1174250 Entity Type: For profit Name of OBA: 776 Tustin Wing Ferno LLC Address: Orange, CA Investment Related: No Position, Title, Association: part owner of as a limited partner Employee Start Date: 04/2020 Number of Hours: 0 Number of Hours during trading: 0 Duties: This is a chicken fast food restaurant that I'm also part owner of as a limited partner. This is a family restaurant business and not investment-related. This business has ceased operations and closed since August 2022. However, the entity has not been dissolved yet. And there will be no responsibilities required of me for this business. Name of the other businessRental Property 1 Whether the business is investment-relatedno Address of the other business8120 Munslow Way, Sacramento Ca 95829 Nature of the other businessRental home Your positionowner Title, or relationship with the other businessowner Start date of your relationship08/2019 Approximate number of hours/month you devote to the other business0 Number of hours you devote/month to the other business during securities trading hours0 Briefly describe your duties relating to the other businessOwner. No duties. Renting the property out only.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-29
  • S66 Uniform Combined State Law Examination
    2023-04-29

View on SEC IAPD

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