Michael Philip Tomkins

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
MT	RA	APPROVED	2020-12-01
TX	RA	APPROVED	2004-08-25
CA	RA	APPROVED	2003-09-24

MT RA
APPROVED

Since 2020-12-01
TX RA
APPROVED

Since 2004-08-25
CA RA
APPROVED

Since 2003-09-24

Branch Locations

Whitefish, MT • United States

601 State St, Southlake, TX 76092 • United States

Southlake, TX • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Los Angeles	CA	04/2003	Present
Bank Of America,N.A.	Newport Beach	CA	08/2009	Present

04/2003 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA
08/2009 → Present

Bank Of America,N.A.

Newport Beach, CA

Other Businesses

I*78373 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DAVID GODBER IRREVOCABLE LIFE INSURANCE TRUST INVESTMENT RELATED: N ADDRESS OF BUSINESS: 2 PACIFIC WINDS, NEWPORT COAST, CALIFORNIA 92657 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 9/30/2014 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: THE DAVID GODBER IRREVOCABLE LIFE INSURANCE TRUST WAS CREATED TO HOLD AN INSURANCE POLICY FOR BENEFIT OF THE CHILDREN. THIS IS ONE PART OF A MULTI COMPONENT STRATEGY FOR WEALTH TRANSFER TO CLIENTS HEIRS. DAVID IS A RELATIVE OF MINE.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-08-04

S66 Uniform Combined State Law Examination

2003-08-04

Other Names

Michael Tomkins

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