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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 2020-05-19
TX RA APPROVED 2020-05-19
  • CA RA
    APPROVED
    Since 2020-05-19
  • TX RA
    APPROVED
    Since 2020-05-19

Branch Locations

101 S Rodeo Dr, Beverly Hills, CA 90212 • 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
Jp Morgan Securities Llc Los Angeles CA 12/2012 05/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Beverly Hills CA 05/2020 Present
Bank Of America, N.A. Beverly Hills CA 06/2020 Present
Previous Registrations
Other Businesses

I*3297290, Entity Type: Entity For Profit, Name of OBA: Baba Sale Congregation, Address: Los Angeles, California, 90036, Investment Related: N, Position, Title, Association: Employee, Employee State Date: 01/01/2026, No Hours: 8 Weekly, No Hours during Trading: 0 Weekly, Duties: Rabbinical duties mostly on the Saturday and Jewish holidays, Orthodox Jewish Synagogue

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-31
  • S66 Uniform Combined State Law Examination
    2006-10-31

View on SEC IAPD

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