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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 2009-06-18
CA RA APPROVED 2004-06-07
  • TX RA
    APPROVED_RES
    Since 2009-06-18
  • CA RA
    APPROVED
    Since 2004-06-07

Branch Locations

2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

Los Angeles, CA • 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 Beverly Hills CA 06/1998 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Beverly Hills CA 06/1998 Present
Other Businesses

I*509969 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Charlotte, North Carolina, 28270 Nature of business: Position, title, association: Sole owner, Start date of relationship: 8/1/2021 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-08-13
  • S66 Uniform Combined State Law Examination
    1999-08-13

View on SEC IAPD

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