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Timothy J Mosley

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA

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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 2010-04-09
CA RA APPROVED 2008-01-23
  • TX RA
    APPROVED_RES
    Since 2010-04-09
  • CA RA
    APPROVED
    Since 2008-01-23

Branch Locations

50 W San Fernando St, San Jose, CA 95113 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch San Jose CA 01/2008 Present
Bank Of America,Na San Jose CA 08/2009 Present
  • 01/2008 → Present
    Merrill Lynch
    San Jose, CA
  • 08/2009 → Present
    Bank Of America,Na
    San Jose, CA
Previous Registrations
  • 2007-07-20 → 2007-11-19
    Morgan Stanley & Co. Llc
    Cupertino, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-13
  • S66 Uniform Combined State Law Examination
    2007-07-13
Other Names
  • Tim Mosley
  • Tim James Mosley
  • Tim Mosley

View on SEC IAPD

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