Thomas Alan Schmidt

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2022-10-17
TX	RA	APPROVED_RES	2017-02-01
RI	RA	APPROVED	2008-06-18

CO RA
APPROVED

Since 2022-10-17
TX RA
APPROVED_RES

Since 2017-02-01
RI RA
APPROVED

Since 2008-06-18

Branch Locations

1 Financial Plaza, Providence, RI 02903 • United States

Snowmass Village, CO • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691	Wellesley Hills	MA	06/2008	Present
Bank Of America, N.A.	Providence	RI	07/2011	Present

06/2008 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691

Wellesley Hills, MA
07/2011 → Present

Bank Of America, N.A.

Providence, RI

Previous Registrations

2007-10-10 → 2008-06-19

Morgan Stanley & Co. Llc

Boston, MA

Providence, RI

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-04-24

S66 Uniform Combined State Law Examination

2001-04-24

View on SEC IAPD