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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 2018-08-26
CA RA APPROVED 2018-02-20
  • TX RA
    APPROVED_RES
    Since 2018-08-26
  • CA RA
    APPROVED
    Since 2018-02-20

Branch Locations

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

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Drago Centro Los Angeles CA 12/2015 10/2017
Northwestern Mutual Life Insurance Company Milwaukee WI 08/2016 09/2017
Northwestern Mutual Investment Services Llc Los Angeles CA 01/2017 09/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated El Segundo CA 09/2017 Present
Bottega Louis Los Angeles CA 11/2016 11/2017
Bank Of America, N.A. El Segundo CA 05/2018 Present
  • 12/2015 → 10/2017
    Drago Centro
    Los Angeles, CA
  • 08/2016 → 09/2017
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2017 → 09/2017
    Northwestern Mutual Investment Services Llc
    Los Angeles, CA
  • 09/2017 → Present
    El Segundo, CA
  • 11/2016 → 11/2017
    Bottega Louis
    Los Angeles, CA
  • 05/2018 → Present
    Bank Of America, N.A.
    El Segundo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-16
S63 Uniform Securities Agent State Law Examination 2017-06-23
  • S66 Uniform Combined State Law Examination
    2018-02-16
  • S63 Uniform Securities Agent State Law Examination
    2017-06-23
Other Names
  • Irana Gomez

View on SEC IAPD

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