Thomas D Roche

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2006-01-04
CA	RA	APPROVED	2005-01-01

TX RA
APPROVED

Since 2006-01-04
CA RA
APPROVED

Since 2005-01-01

Branch Locations

16830 Ventura Blvd, Encino, CA 91436 • United States

Palos Verdes Estates, CA • 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	Encino	CA	07/2004	Present
Bank Of America, N.A.	Encino	CA	06/2011	Present

07/2004 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Encino, CA
06/2011 → Present

Bank Of America, N.A.

Encino, CA

Other Businesses

I*1843269, Entity Type: Fiduciary role, Name of OBA: T D R TTEE A N R TTEE U/A DTD 07/24/2006 , Address: Palos Verdes Estates,California 90274, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 05/20/2024, No Hours: 1, No Hours during trading: 1, Duties: Fiduciary role

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-12-23

S66 Uniform Combined State Law Examination

2004-12-23

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

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