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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 2015-09-29
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2015-09-29
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • 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 Pasadena CA 08/1984 Present
Bank Of America,Na Pasadena CA 09/2009 Present
Other Businesses

I*11373For profit or not for profit: Name of outside business organization: Dyrek Family TrustInvestment related: Address of business: Monrovia, California 91016Nature of business: Position, title, association: , Start date of relationship: 12/22/2018Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0I*128061For profit or not for profit: For-Profit OrganizationName of outside business organization: Dyrek Family TrustInvestment related: NAddress of business:Monrovia, California 91016Nature of business: Trust,Position, title, association: Trustee, Start date of relationship: 12/22/2018Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Rental propertyI*2030298, Entity Type, Name of OBA: Rental Property 1, Address: San Gabriel, CA, 91016, Investment Related: No, Position, Title, Association: Co-owner with other family members, Employee Start Date: 03/01/2021, No Hours: 1hr/Mo, No Hours during trading: 0, Duties: I*4497287 Entity Type: N/A Name of OBA: Rental Property 2 Address: Oxnard, California, 93035 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 05/01/2026 Number of Hours: 5, Yearly Number of Hours during trading: 0, Yearly Duties: N/A

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-02-28
S63 Uniform Securities Agent State Law Examination 1985-05-23
  • S65 Uniform Investment Adviser Law Examination
    1995-02-28
  • S63 Uniform Securities Agent State Law Examination
    1985-05-23

View on SEC IAPD

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