Elaine Thompson-Perez

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2016 → 01/2018
  Principal Securities
  Walnut Creek, CA
• 01/2018 → 09/2019
  Morgan Stanley Smith Barney Llc
  New York, NY
• 01/2018 → 09/2019
  Morgan Stanley
  New York, NY
• 01/2020 → 01/2022
  Morgan Stanley
  New York, NY
• 09/2019 → 01/2020
  Unemployed
  Jamaica, NY
• 02/2022 → 03/2023
  Morgan Stanley
  New York, NY
• 04/2023 → 10/2023
  New York Life Insurance Company
  New York, NY
• 02/2023 → 10/2023
  Nylife Securities Llc
  New York, NY
• 11/2023 → 12/2024
  Mml Investors Services, Llc
  New York, NY
• 01/2023 → 12/2024
  Massmutual Metro
  New York, NY
• 12/2024 → 02/2025
  Voya
  New York, NY
• 02/2025 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 08/2016 → 11/2016
  Unemployed
  Dublin, CA

Previous Registrations

• 2025-01-03 → 2025-02-19
  Voya Retirement Advisors, Llc
  New York, NY
  Windsor, CT
• 2024-02-13 → 2024-12-09
  Mml Investors Services, Llc
  New York, NY
  Jamaica, NY
• 2022-05-26 → 2023-04-21
  Morgan Stanley
  New York, NY
• 2020-03-10 → 2022-02-07
  Morgan Stanley
  New York, NY
  Purchase, NY
• 2018-01-26 → 2019-09-30
  Morgan Stanley
  New York, NY
  Pleasanton, CA
• 2016-09-20 → 2018-01-29
  Principal Securities, Inc.
  San Jose, CA
  Walnut Creek, CA
• 2015-11-23 → 2016-06-01
  Equitable Advisors, Llc
  Walnut Creek, CA
  San Francisco, CA
• 2015-03-18 → 2015-10-30
  Transamerica Financial Advisors, Llc
  Modesto, CA
• 2013-10-04 → 2015-02-27
  Ameritas Investment Company, Llc
  Lincoln, NE
  San Ramon, CA
• 2011-03-30 → 2011-10-12
  Liberty Group, Llc
  Pleasanton, CA
  Oakland, CA
• 2010-03-01 → 2011-03-10
  Msi Financial Services, Inc.
  Walnut Creek, CA
• 2008-06-16 → 2008-07-14
  Mml Investors Services, Llc
  Pleasanton, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-06-04
• S63 Uniform Securities Agent State Law Examination
  2007-11-19

Other Names

• Elaine Ruth Thompson
• Elaine Ruth Thompson-Perez
• Elaine Thompson Perez
• Elaine Ruth Thompson Perez
• Elaine R Thompson-Perez
• Elaine Thompson-Perez