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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_RES 2024-01-17
CA RA APPROVED 2021-09-15
  • TX RA
    APPROVED_RES
    Since 2024-01-17
  • CA RA
    APPROVED
    Since 2021-09-15

Branch Locations

2049 Century Park E, Los Angeles, CA 90067 • 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 Advisors Llc Century City CA 04/2010 11/2016
Wells Fargo Clearing Services, Llc Century City CA 11/2016 10/2019
Wells Fargo Advisors Financial Network, Llc Beverly Hills CA 10/2019 08/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 08/2021 Present
Previous Registrations
Other Businesses

NOTARY PUBLIC, NOT INVT RELATED, LOS ANGELES, CA, NOTARY, START DATE 1/7/2021, 4 HRS PER MONTH, 0 HRS DURING TRADING, NOTARIZE DOCUMENTS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-10-02
  • S66 Uniform Combined State Law Examination
    2002-10-02

View on SEC IAPD

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