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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 2011-09-29
MI RA APPROVED 2010-05-12
  • TX RA
    APPROVED_RES
    Since 2011-09-29
  • MI RA
    APPROVED
    Since 2010-05-12

Branch Locations

39001 W 12 Mile Rd, Farmington Hills, MI 48331 • United States

Ferndale, MI • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmington Hills MI 10/2009 Present
Bank Of America,N.A. Farmington Hills MI 06/2011 Present
Previous Registrations
  • 2008-10-24 → 2009-10-23
    Banc Of America Investment Services, Inc.
    St. Clair Shores, MI
  • 2004-11-04 → 2008-10-24
    Lasalle Financial Services, Inc.
    St. Clair Shores, MI
    Chicago, IL
    Centerline, MI
    Detroit, MI
    East Pointe, MI
    St. Clair Shores, MI
    St. Clair Shores, MI
    St. Clair Shores, MI
    Warren, MI
    Detroit, MI
    Center Line, MI
    Chicago, IL
Other Businesses

I*431981 FOR PROFIT OR NOT FOR PROFIT: Entity for Profit NAME OF OUTSIDE BUSINESS ORGANIZATION: JEPETTO'S L.L.C. INVESTMENT RELATED: N ADDRESS OF BUSINESS: FERNDALE, MICHIGAN 48220 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: Owner START DATE OF RELATIONSHIP: 7/1/2002 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: The company is for Investment properties and land: real estate acquisition, rehabilitation and sale or rental of properties. It was established to hold the investment properties with limited liability for the other member and myself as it is a two member L.L.C. Duties include property rehabilitation and property rental, property prospecting, acquisition and sale. (2)SELF EMPLOYED ACTOR AS EXTRA/BACKGROUND FOR FILM, FERNDALE, MICHIGAN 48220 - HRS DEVOTED TO ACTIVITY - 120, DATE ACTIVITY BEGAN 06/03/09, POSITION - OTHER; WILL ONLY BE OCCASIONAL IN NATURE, NO STEADY INCOME.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-11-13
S63 Uniform Securities Agent State Law Examination 2002-05-01
  • S65 Uniform Investment Adviser Law Examination
    2002-11-13
  • S63 Uniform Securities Agent State Law Examination
    2002-05-01
Other Names
  • Jacob James Thomas

View on SEC IAPD

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