Thomas John Allardice

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

• 04/1997 → 08/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ
• 08/2021 → 03/2022
  Rockefeller Financial Llc
  Hamilton, NJ
• 05/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ
• 03/2022 → 04/2022
  Unemployed
  Plainsboro, NJ

Previous Registrations

• 2021-08-16 → 2022-03-23
  Rockefeller Financial Llc
  Hamilton Township, NJ
• 2004-04-14 → 2021-08-16
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  New York, NY
  Pennington, NJ
  Pennington, NJ
  Pennington, NJ
  Charlotte, NC

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-10-30
• S63 Uniform Securities Agent State Law Examination
  2000-09-12

Other Names

• Thomas J Allardice