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Lata Bhattarai Malla

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Mateo, CA

Walnut Creek, 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 2020-03-27
CA RA APPROVED 2020-03-11
  • TX RA
    APPROVED
    Since 2020-03-27
  • CA RA
    APPROVED
    Since 2020-03-11

Branch Locations

101 S Ellsworth Ave, San Mateo, CA 94401 • United States

1331 N California Blvd, Walnut Creek, CA 94596 • 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 San Mateo CA 10/2017 Present
California State University, East Bay Hayward CA 09/2015 12/2017
College Of San Mateo San Mateo CA 08/2013 12/2017
Bank Of America San Mateo CA 11/2015 10/2017
  • 10/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Mateo, CA
  • 09/2015 → 12/2017
    California State University, East Bay
    Hayward, CA
  • 08/2013 → 12/2017
    College Of San Mateo
    San Mateo, CA
  • 11/2015 → 10/2017
    Bank Of America
    San Mateo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-03-10
  • S66 Uniform Combined State Law Examination
    2020-03-10
Other Names
  • Lata Bhattarai

View on SEC IAPD

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NEWFRONT RETIREMENT SERVICES, INC. · SAN MATEO, CA
ESO MANAGEMENT SERVICES LLC · SAN MATEO, CA
FARMERS ASSET MANAGEMENT, LLC · San Mateo, CA
EAGLE STRATEGIES LLC · SAN MATEO, CA
LPL FINANCIAL LLC · SAN MATEO, CA
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