Stephanie Ayala

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-09-15
CA	RA	APPROVED	2021-08-18

TX RA
APPROVED

Since 2021-09-15
CA RA
APPROVED

Since 2021-08-18

Branch Locations

Woodland Hills, CA • United States

333 S Hope St, Los Angeles, CA 90071 • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Los Angeles	CA	04/2020	Present
Wells Fargo Bank	Malibu	CA	06/2014	04/2020

04/2020 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA
06/2014 → 04/2020

Wells Fargo Bank

Malibu, CA

Other Businesses

I*4017274, Entity Type: Entity For Profit, Name of OBA: Goldn LA, Address: Woodland Hills, California, 91367, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 04/12/2026, No Hours: 10 Weekly, No Hours during Trading: 0 Weekly, Duties: Attend weekend events like farmer markets and install jewelry and or charms during the events for clients. It is permanent jewelry, bag chains and charms for clothing

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-08-16

S66 Uniform Combined State Law Examination

2021-08-16

View on SEC IAPD