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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 2009-10-23
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

555 California St, San Francisco, CA 94104 • United States

One Bryant Park, New York, NY 10036 • 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 San Francisco CA 10/2009 Present
Previous Registrations
  • 2007-04-11 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Newport Beach, CA
    Boston, MA
    Newport Beach, CA
    Jacksonville, FL
    Boston, MA
    Newport Beach, CA
    Newport Beach, CA
Other Businesses

I*3563269 Entity Type: N/A Name of OBA: CARLA REYNOLDS TTEE S R TTEE U/A DTD 06/28/2016 Address: san francisco, California, 94134 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 06/28/2016 Number of Hours: 1, Yearly Number of Hours during trading: 0, Yearly Duties: Self, Spouse

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-10
  • S66 Uniform Combined State Law Examination
    2007-04-10
Other Names
  • Carla Rocha
  • Carla Vanessa Rocha
  • Carla Vanessa Reynolds

View on SEC IAPD

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