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Thomas Ray Tucker

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cambridge, 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
RI RA APPROVED 2016-03-08
TX RA APPROVED_RES 2016-02-04
  • RI RA
    APPROVED
    Since 2016-03-08
  • TX RA
    APPROVED_RES
    Since 2016-02-04

Branch Locations

1414 Massachusetts Ave, Cambridge, MA 02138 • 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 Lincoln RI 05/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-04
S63 Uniform Securities Agent State Law Examination 1997-09-16
  • S66 Uniform Combined State Law Examination
    2016-03-04
  • S63 Uniform Securities Agent State Law Examination
    1997-09-16

View on SEC IAPD

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