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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 2013-01-25
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2013-01-25
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • United States

Calabasas, CA • 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 Los Angeles CA 06/1983 Present
Bank Of America,N.A. Los Angeles CA 06/2011 Present
Other Businesses

I*60005 For profit or not for profit: Non-Profit Organization Name of outside business organization: Los Angeles World Affairs Council Investment related: N Address of business: Culver City, California 90232 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 2/15/2013 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: To be one of a two member audit committee that determines who our auditors are, negotiates compensation for auditors, meets with the partner in charge of the audit before the audit, receives the audited statements once a year and reviews I*115259 For profit or not for profit: For-Profit Organization Name of outside business organization: LeaStella Productions LLC Investment related: Y Address of business: 805 S Wooster, #309 Los Angeles, California 90035 Nature of business: LLC, Compensation for Activity: N Position, title, association: Committee Member, Start date of relationship: 6/25/2018 Number of hours devoted: 20 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I have a pre-approved private investment with this entity in the form of a loan. Company is requesting my participation on fund raising committee for an event in November with non-profit co-host, the International Victims Action Center

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-27
S63 Uniform Securities Agent State Law Examination 1983-09-14
  • S65 Uniform Investment Adviser Law Examination
    1994-10-27
  • S63 Uniform Securities Agent State Law Examination
    1983-09-14
Other Names
  • Kevin Hanley
  • Kevin Patrick Hanley

View on SEC IAPD

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