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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 2010-04-29
CA RA APPROVED 2006-10-20
  • TX RA
    APPROVED_RES
    Since 2010-04-29
  • CA RA
    APPROVED
    Since 2006-10-20

Branch Locations

555 Capitol Mall, Sacramento, CA 95814 • 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 Roseville CA 07/2006 Present
Bank Of America,Na Roseville CA 08/2009 Present
Other Businesses

I*25856FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ST. JOHN'S SHELTER FOR WOMEN AND CHILDRENINVESTMENT RELATED: NOADDRESS OF BUSINESS: SACRAMENTO, CA 95825-1379SACRAMENTO, CALIFORNIA 95826-4352POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER START DATE OF RELATIONSHIP: 7/23/2009NUMBER OF HOURS DEVOTED: 10 HOURS MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: DIRECTOR/BOARD MEMBER SUBCOMMITTEE MEMBER SUPPORT HOMELESS WOMEN WITH CHILDREN TO ADVANCE FROM A POINT OF CRISIS TO A POSITION OF SELF-SUFFICIENCY I*: 2584283Entity Type: Fiduciary role Name of OBA: MLPF& S CUST FPO D. C. IRA FBO D. C.Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of Attorney Employee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthly Duties: Power of Attorney for Child/Grandchild I*: 2584284Entity Type: Fiduciary roleName of OBA: MLPF& S CUST FPO P. N C. IRA FBO P. N C.Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of Attorney Employee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthly Duties: Power of Attorney for Child/Grandchild I*: 2584285Entity Type: Fiduciary roleName of OBA: P. N C. & D. C. TTEES UAD 09/18/1996Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of Attorney Employee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthly Duties: Power of Attorney for Child/Grandchild I*: 2584286Entity Type: Fiduciary roleName of OBA: P. N C. & D. R C. TTEES UAD 09/18/1996Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthlyDuties: Power of Attorney for Child/Grandchild I*: 2586281Entity Type: Fiduciary roleName of OBA: P. N C. TTEE D. R C. TTEE U/A DTD 09/Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthlyDuties: Power of Attorney for Child/Grandchild I*: 2586283Entity Type: Fiduciary roleName of OBA: P. N C. & D. C. TTEES UAD 09/18/1996Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthlyDuties: Power of Attorney for Child/Grandchild I*: 2586284Entity Type: Fiduciary roleName of OBA:P. N C. & D. R C. TTEES UAD 09/18/1996 Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthlyDuties: Power of Attorney for Child/Grandchild I*2797289, Entity Type: , Name of OBA: P N C & D R C TTEES UAD 09/18/1996 , Address: Sacramento, California, 95819, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/28/2025, No Hours: 4 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-19
  • S66 Uniform Combined State Law Examination
    2006-10-19
Other Names
  • Dave Cloninger
  • Dave Cloninger
  • Paul D Cloninger

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