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Hrag Kortoshian

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Woodland Hills, CA

Woodland Hills, CA

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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 2022-08-30
CA RA APPROVED 2022-07-15
  • TX RA
    APPROVED
    Since 2022-08-30
  • CA RA
    APPROVED
    Since 2022-07-15

Branch Locations

5959 Canoga Ave, Woodland Hills, CA 91367 • United States

5440 Topanga Canyon Blvd, Woodland Hills, CA 91367 • 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
Wells Fargo Bank Na Tarzana CA 12/2011 07/2019
Wells Fargo Clearing Services Llc Tarzana CA 11/2016 07/2019
Hsbc Bank Usa, N.A. North Hollywood CA 07/2019 06/2021
Hsbc Securities (Usa) Inc. Beverly Hills CA 08/2019 06/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Encino CA 04/2022 Present
Unemployed West Hills CA 06/2021 04/2022
Bank Of America, N.A. Encino CA 04/2022 Present
  • 12/2011 → 07/2019
    Wells Fargo Bank Na
    Tarzana, CA
  • 11/2016 → 07/2019
    Wells Fargo Clearing Services Llc
    Tarzana, CA
  • 07/2019 → 06/2021
    Hsbc Bank Usa, N.A.
    North Hollywood, CA
  • 08/2019 → 06/2021
    Hsbc Securities (Usa) Inc.
    Beverly Hills, CA
  • 04/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Encino, CA
  • 06/2021 → 04/2022
    Unemployed
    West Hills, CA
  • 04/2022 → Present
    Bank Of America, N.A.
    Encino, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-08
S63 Uniform Securities Agent State Law Examination 2017-02-17
  • S66 Uniform Combined State Law Examination
    2022-07-08
  • S63 Uniform Securities Agent State Law Examination
    2017-02-17

View on SEC IAPD

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Other Investors

MICHAEL WILLIAM JOHNS
STEWART E SCHRADER
Daniel Polyakov
Carol Ann Casebolt
Homer Jonathan Reed Wilson
JAMES MATTHEW PATTON
LISA ESTELLE HARWOOD
JEFFREY ALAN HARWOOD

Other Offices

MERCER GLOBAL ADVISORS INC. · Woodland Hills, CA
INDEPENDENT FINANCIAL GROUP, LLC · Woodland Hills, CA
VENTURA ADVISORS · WOODLAND HILLS, CA
LPL FINANCIAL LLC · WOODLAND HILLS, CA
LINCOLN INVESTMENT · WOODLAND HILLS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Woodland Hills, CA
CITIGROUP GLOBAL MARKETS INC. · Woodland Hills, CA
CHELSEA MANAGEMENT COMPANY · WOODLAND HILLS, CA

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