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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-12-23
  • CA RA
    APPROVED
    Since 2025-12-23

Branch Locations

500 Newport Ctr Dr, Newport Beach, CA 92660 • United States

12830 El Camino Real, San Diego, CA 92130 • 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 Diego CA 11/2006 Present
Bofa Securities, Inc. San Francisco CA 05/2019 Present
Bank Of America, N.A. San Diego CA 12/2025 Present
Other Businesses

I*1983279, Entity Type, Name of OBA: Rental Property 1 Address:San Diego, California, 92110 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date:9/3/24 No Hours: 1 hr monthly No Hours during trading: 0 Duties: I*2179257, Entity Type: , Name of OBA: Tech San Diego, Address: San Diego, California, 92130, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 30-Jan-2025, No Hours: 4 Monthly, No Hours during Trading: 2 Monthly, Duties: Attend general board meetings; Business Professional Committee Tech San Diego is a nonprofit organization dedicated to fostering the growth of the technology ecosystem in the San Diego region. Key initiatives include talent development by offering programs aimed at developing and retaining talent. Networking events that facilitate collaboration and knowledge sharing among industry leaders. The organization also advocates for initiatives that promote innovation and economic growth. Serving as a board member of Tech San Diego includes a duty to provide guidance and oversight to ensure the organization fulfills its mission and objectives as well as meeting attendance and active participation in discussions and committee involvement to address specific initiatives around networking and building business market intelligence.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-12-23
S63 Uniform Securities Agent State Law Examination 2018-02-28
  • S65 Uniform Investment Adviser Law Examination
    2025-12-23
  • S63 Uniform Securities Agent State Law Examination
    2018-02-28

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