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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-11-23
CA RA APPROVED 2003-03-21
  • TX RA
    APPROVED_RES
    Since 2025-11-23
  • CA RA
    APPROVED
    Since 2003-03-21

Branch Locations

2 Belvedere Pl, Mill Valley, CA 94941 • 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 Mill Valley CA 12/2002 Present
Bank Of America,N.A. Mill Valley CA 06/2011 Present
Other Businesses

I*1826309, Entity Type Not For Profit, Name of OBA: DKG Holdings LLC Address: Fort Worth, TX Investment Related: No Position, Title, Association: Renter & SubLessor Employee Start Date: 08/01/2024 No Hours: 0 No Hours during trading: 0 Duties: I entered into a sublease agreement on the property located in Fort Worth Texas. I am the guarantor for my daughters portion of the master lease at this property for a 2-year period. My daughter will be studying abroad this fall and I found someone to sublease her room for a few months. We are paying $1200 a month in rent and we will be receiving $1200 as a sublease payment. The sublease is from August 2024 through December 2024.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-03-12
  • S66 Uniform Combined State Law Examination
    2003-03-12
Other Names
  • Thomas Rickey

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