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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 2010-07-08
CA RA APPROVED 2009-06-16
  • TX RA
    APPROVED
    Since 2010-07-08
  • CA RA
    APPROVED
    Since 2009-06-16

Branch Locations

701 B St, San Diego, CA 92101 • United States

2049 Century Park E Division - Pacific Coast, Los Angeles, CA 90067 • 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 La Jolla CA 06/2009 Present
Bank Of America, N.A. La Jolla CA 06/2011 Present
Previous Registrations
Other Businesses

I*460497 Entity Type: For Profit Name of outside business organization: FML ENTERPRISES, LLC Investment related: No Address of business: MT CHARLESTON, Nevada, 89124 Position, title, association: Consultant/Independent Contractor, Start date of relationship: 4/1/2019 Number of hours devoted: 5 hours Monthly Number of hours devoted during trading hours: 0 Duties: FML ENTERPRISES, LLC collects rent from a commercial building owned in Los Angeles and disburses funds to the partners. I*3337267 Entity Type: Fiduciary Role Name of OBA: K. R. Address: Severy, KS 67137 Investment Related: No Position, Title, Association: Administrator Employee Start Date: 01/01/2026 Number of Hours: 1, Weekly Number of Hours during trading: 1, Weekly Duties: Administrator/Siblings

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-06
S63 Uniform Securities Agent State Law Examination 1993-06-05
  • S66 Uniform Combined State Law Examination
    2007-07-06
  • S63 Uniform Securities Agent State Law Examination
    1993-06-05
Other Names
  • Davis Paige
  • Karen Lyn Davis
  • Karen Lyn Paige
  • Karen Lyn Davis
  • Karen Paige
  • Karen L Paige

View on SEC IAPD

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