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Thomas Michael Berard

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wellesley Hills, MA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-09-24
TX RA APPROVED_RES 2005-02-17
  • CT RA
    APPROVED
    Since 2025-09-24
  • TX RA
    APPROVED_RES
    Since 2005-02-17

Branch Locations

45 William St, Wellesley Hills, MA 02481 • 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 Wellesley MA 11/1998 Present
Bank Of America,Na Wellesley Hills MA 11/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-25
S63 Uniform Securities Agent State Law Examination 1997-04-04
  • S65 Uniform Investment Adviser Law Examination
    1997-04-25
  • S63 Uniform Securities Agent State Law Examination
    1997-04-04
Other Names
  • Thomas M Berard

View on SEC IAPD

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