Thomas Eugene Smith

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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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_RES	2019-11-26
AL	RA	APPROVED	2018-03-19

TX RA
APPROVED_RES

Since 2019-11-26
AL RA
APPROVED

Since 2018-03-19

Branch Locations

601 N Section St, Fairhope, AL 36532 • 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
Regions Bank	Daphne	AL	08/2015	03/2018
Cetera Investment Advisers Llc	Daphne	AL	08/2015	03/2018
Cetera Investment Services Llc	St.CLoud	MN	08/2015	03/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Fairhope	AL	03/2018	Present
Bank Of America, N.A.	Fairhope	AL	05/2018	Present

08/2015 → 03/2018

Regions Bank

Daphne, AL
08/2015 → 03/2018

Cetera Investment Advisers Llc

Daphne, AL
08/2015 → 03/2018

Cetera Investment Services Llc

St.CLoud, MN
03/2018 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fairhope, AL
05/2018 → Present

Bank Of America, N.A.

Fairhope, AL

Previous Registrations

2015-08-27 → 2018-03-19

Cetera Investment Advisers Llc

Daphne, AL
2014-01-14 → 2015-08-21

Pnc Wealth Management Llc

Robertsdale, AL

Gulf Shores, AL

Orange Beach, AL

Foley, AL

Spanish Fort, AL
2012-02-08 → 2014-01-24

Hancock Whitney Investment Services Inc.

Pensacola, FL

Gulf Breeze, FL

Seagrove Beach, FL

Santa Rosa Beach, FL

Pensacola, FL

Pace, FL

Miramar Beach, FL

Pensacola, FL

Bradenton, FL

Pensacola, FL

Bradenton, FL

Destin, FL
2009-05-19 → 2012-02-13

Cetera Investment Services Llc

Mobile, AL

Pensacola, FL

Pensacola, FL
2004-11-22 → 2009-05-12

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fairhope, AL

Fairhope, AL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-11-19

S66 Uniform Combined State Law Examination

2004-11-19

Other Names

Thomas E Smith
Thomas E Smith
Thomas Eugene Smith
Thomas Smith

View on SEC IAPD

Other Firms

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

NAVIANT PARTNERS, LLC

APTUS CAPITAL ADVISORS, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

PNC WEALTH MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

HAYEK KALLEN INVESTMENT MANAGEMENT L.L.C.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Other Investors

GEOFFREY FORD KENNEDY

DOUGLAS FORD KENNEDY

Tenzin Phuntsok

MARK ALAN CALLAHAN

JOHN LUKE TYNER

BECKHAM DAVID WYRICK

Joseph Robert King

William Herbert Graham

Other Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · FAIRHOPE, AL

NAVIANT PARTNERS, LLC · FAIRHOPE, AL

APTUS CAPITAL ADVISORS, LLC · FAIRHOPE, AL

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fairhope, AL

PNC WEALTH MANAGEMENT LLC · FAIRHOPE, AL

WELLS FARGO CLEARING SERVICES, LLC · FAIRHOPE, AL

HAYEK KALLEN INVESTMENT MANAGEMENT L.L.C. · FAIRHOPE, AL

STIFEL, NICOLAUS & COMPANY, INCORPORATED · FAIRHOPE, AL

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