Thomas C Griffiths

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2004-02-28

NJ RA
APPROVED

Since 2004-02-28

Branch Locations

1400 American Blvd, Pennington, NJ 08534 • United States

One Bryant Park, New York, NY 10036 • 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	Pennington	NJ	09/2003	Present

09/2003 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Other Businesses

I*3510275 Entity Type: For Profit Name of OBA: Journey with CP LLC Address: Littl Egg Harbor, New Jersey, 08087 Investment Related: No Position, Title, Association: Employee Employee Start Date: 01/26/2026 Number of Hours: 5, Monthly Number of Hours during trading: 0 Duties: travel agent/associate only

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-02-20

S66 Uniform Combined State Law Examination

2004-02-20

Other Names

Thomas Griffiths

View on SEC IAPD