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Thomas J Stergiou

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jersey City, NJ

New York, NY

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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 2014-03-24
  • NJ RA
    APPROVED
    Since 2014-03-24

Branch Locations

525 Washington Blvd , Jersey City, NJ 07310 • United States

One Bryant Park, New York, NY 10036 • 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 Jersey City NJ 09/2013 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-01-04
S63 Uniform Securities Agent State Law Examination 2001-12-21
  • S65 Uniform Investment Adviser Law Examination
    2014-01-04
  • S63 Uniform Securities Agent State Law Examination
    2001-12-21
Other Names
  • Thomas J. Stergiou
  • Thomas James Stergiou

View on SEC IAPD

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