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JOSHUA A PELZ
JOSH A PELZ, JOSH PELZ, JOSHUA AARON PELZ
CRD#: 5643402
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CAPITOL MALL
SACRAMENTO, CA 95814
Registration History
201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2015 - Present (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - Present (11 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2013 (<1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)
License(s)

State Registrations

B
Alabama 6/2/2015

B
Missouri 5/3/2021

B
Alaska 5/3/2021

B
Montana 5/3/2021

B
Arizona 5/19/2015

B
Nevada 5/19/2015

B
California 8/7/2013

B
New Jersey 5/19/2015

IA
California 5/19/2015

B
New Mexico 5/3/2021

B
Colorado 5/19/2015

B
New York 5/19/2015

B
Connecticut 5/3/2021

B
North Carolina 5/20/2015

B
District of Columbia 5/3/2021

B
Ohio 5/3/2021

B
Florida 5/19/2015

B
Oklahoma 5/19/2015

B
Georgia 5/19/2015

B
Oregon 5/19/2015

B
Hawaii 5/3/2021

B
Rhode Island 5/3/2021

B
Idaho 5/19/2015

B
South Carolina 5/3/2021

B
Indiana 5/3/2021

B
South Dakota 5/3/2021

B
Iowa 10/1/2021

B
Tennessee 5/3/2021

B
Kansas 5/3/2021

B
Texas 5/19/2015

B
Kentucky 5/3/2021

IA
Texas 5/19/2015

B
Louisiana 5/3/2021

B
Utah 1/2/2020

B
Maine 5/3/2021

B
Virginia 5/19/2015

B
Maryland 6/2/2015

B
Washington 5/19/2015

B
Massachusetts 5/19/2015

B
West Virginia 5/3/2021

B
Michigan 1/2/2020

B
Wisconsin 11/29/2016

B
Minnesota 5/3/2021

B
Wyoming 5/3/2021

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 5/19/2015

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 8/7/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/01/2012 - 07/16/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) SACRAMENTO, CA
B
05/25/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SACRAMENTO, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.