Best Investors Account Sign in

David Alexander Thomas

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Roseville, CA

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-06-05
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-05
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

2998 Douglas Blvd, Roseville, CA 95661 • 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 Roseville CA 10/2009 Present
Bank Of America, N.A. Roseville CA 05/2011 Present
Previous Registrations
  • 2006-04-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Loomis, CA
    Roseville, CA
    Auburn, CA
    Roseville, CA
  • 2004-04-12 → 2006-04-24
    Citicorp Investment Services
    Sacramento, CA
  • 2004-01-15 → 2004-04-05
    Wamu Investments, Inc.
    Sacramento, CA
  • 2003-05-27 → 2004-01-05
    Morgan Stanley Dw Inc.
    Sacramento, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-22
  • S66 Uniform Combined State Law Examination
    2003-05-22
Other Names
  • David A Thomas

View on SEC IAPD

Other Firms

DCA FAMILY OFFICE, LLC
DCA MANAGEMENT COMPANY, INC.
MUTUAL ADVISORS, LLC
COMMONWEALTH FINANCIAL NETWORK
EDWARD JONES
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC
MERCER GLOBAL ADVISORS INC.
NORTHROCK PARTNERS, LLC

Other Investors

KHOLT T. MULDERRIG
Christopher Bruce Stephenson
Kristofer Louis Jones
DANIEL HAVEN FULLER
Zachary Ward Scholfield
JULIA RAMONA SHILES
EDWARD JOSEPH BUNTING
BRADLEY SCOTT SULLIVAN

Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

More in Roseville, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor