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Thomas T Kim

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2006-11-17
TX RA APPROVED 2006-11-17
  • NJ RA
    APPROVED
    Since 2006-11-17
  • TX RA
    APPROVED
    Since 2006-11-17

Branch Locations

1100-1800 American Blvd Ci Client Services, Pennington, NJ 08534 • 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 Spotswood NJ 10/2006 Present
Bank Of America, N.A. Spotswood NJ 08/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-16
S65 Uniform Investment Adviser Law Examination 1995-12-04
S63 Uniform Securities Agent State Law Examination 1987-12-03
  • S66 Uniform Combined State Law Examination
    2006-11-16
  • S65 Uniform Investment Adviser Law Examination
    1995-12-04
  • S63 Uniform Securities Agent State Law Examination
    1987-12-03
Other Names
  • Tai Gon Kim

View on SEC IAPD

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