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Joseph Kimura

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Monica, 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
CA RA APPROVED 2008-07-07
  • CA RA
    APPROVED
    Since 2008-07-07

Branch Locations

100 Wilshire Blvd, Santa Monica, CA 90401 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Monica CA 03/2008 Present
Bank Of America, N.A. Santa Monica CA 07/2011 Present
Previous Registrations
  • 2007-04-02 → 2008-03-26
    Morgan Stanley & Co. Llc
    Santa Monica, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Santa Monica, CA
    Santa Monica, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-24
S63 Uniform Securities Agent State Law Examination 1987-09-16
  • S65 Uniform Investment Adviser Law Examination
    2008-06-24
  • S63 Uniform Securities Agent State Law Examination
    1987-09-16
Other Names
  • Joseph Hajime Kimura
  • Joseph H Kimura

View on SEC IAPD

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