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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 2023-06-14
CA RA APPROVED 2023-05-30
  • TX RA
    APPROVED
    Since 2023-06-14
  • CA RA
    APPROVED
    Since 2023-05-30

Branch Locations

801 10Th St, Modesto, CA 95354 • 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 Modesto CA 02/2023 Present
Bank Of America Modesto CA 02/2023 Present
Citibank Fremont CA 02/2018 02/2023
Harmony Acupuncture And Massage Inc Milpitas CA 05/2009 02/2020
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-26
  • S66 Uniform Combined State Law Examination
    2023-05-26
Other Names
  • Gloria Liu

View on SEC IAPD

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