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Pete Puga

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hanford, 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_RES 2025-07-02
CA RA APPROVED 2025-05-27
  • TX RA
    APPROVED_RES
    Since 2025-07-02
  • CA RA
    APPROVED
    Since 2025-05-27

Branch Locations

180 N Reddington St, Hanford, CA 93230 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Fresno CA 02/2023 07/2023
Wells Fargo Bank, Na Fresno CA 08/2023 02/2024
Precision Home Loans Fresno CA 03/2021 04/2023
University Of Phoenix/San Joaquin College Of Law Fresno CA 08/2014 10/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fresno CA 02/2024 Present
Surpreme Home Loans Clovis CA 12/2020 03/2021
Bank Of America, N.A. Fresno CA 02/2025 Present
  • 02/2023 → 07/2023
    Wells Fargo Clearing Services, Llc
    Fresno, CA
  • 08/2023 → 02/2024
    Wells Fargo Bank, Na
    Fresno, CA
  • 03/2021 → 04/2023
    Precision Home Loans
    Fresno, CA
  • 08/2014 → 10/2020
    University Of Phoenix/San Joaquin College Of Law
    Fresno, CA
  • 02/2024 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Fresno, CA
  • 12/2020 → 03/2021
    Surpreme Home Loans
    Clovis, CA
  • 02/2025 → Present
    Bank Of America, N.A.
    Fresno, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-23
  • S66 Uniform Combined State Law Examination
    2025-05-23
Other Names
  • Pete Puga
  • Pete Puga

View on SEC IAPD

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Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Hanford, CA
CITIGROUP GLOBAL MARKETS INC. · Hanford, CA
AVIDITY CAPITAL · HANFORD, CA
CONCORDE ASSET MANAGEMENT, LLC · Hanford, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Hanford, CA
FIRST COMMAND ADVISORY SERVICES · Lemoore, CA
GLOBAL RETIREMENT PARTNERS LLC · Lemoore, CA
OSAIC WEALTH, INC. · KINGSBURG, CA

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