Best Investors Account Sign in

Miguel Sotelo Jaime

Merrill Lynch, Pierce, Fenner & Smith Incorporated

La Palma, CA

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-02-20
CA RA APPROVED 2018-12-12
  • TX RA
    APPROVED
    Since 2019-02-20
  • CA RA
    APPROVED
    Since 2018-12-12

Branch Locations

5531 La Palma Ave, La Palma, CA 90623 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 07/2013 Present
Bank Of America, N.A. Newport Beach CA 06/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-11
  • S66 Uniform Combined State Law Examination
    2018-12-11
Other Names
  • Miguel Sotelo Jaime
  • Miguel Angel Sotelo Jaime
  • Mike Jaime

View on SEC IAPD

Other Firms

ASCENDANT CAPITAL MANAGEMENT
EDWARD JONES
EQUITABLE ADVISORS, LLC
J.P. MORGAN SECURITIES LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
WELLS FARGO CLEARING SERVICES, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
LPL FINANCIAL LLC

Other Investors

CARLOS EDUARDO SALAZAR RAMIREZ
Ken Chi Lee
CHARLES LAWRENCE ARMENDAREZ
RICHARD MOON
Julio Sandoval
Joel Hirchert
Kenneth Mark Whittenbury
Carol Otters

Other Offices

ASCENDANT CAPITAL MANAGEMENT · LA PALMA, CA
EDWARD JONES · LA PALMA, CA
EQUITABLE ADVISORS, LLC · LA PALMA, CA
J.P. MORGAN SECURITIES LLC · BUENA PARK, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · Buena Park, CA
WELLS FARGO CLEARING SERVICES, LLC · CERRITOS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · LA PALMA, CA
J.P. MORGAN SECURITIES LLC · CERRITOS, CA

More in La Palma, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor