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Thomas F Fullman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlottesville, VA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2017-09-07
TX RA APPROVED 2013-10-14
CT RA APPROVED 2013-08-01
  • VA RA
    APPROVED
    Since 2017-09-07
  • TX RA
    APPROVED
    Since 2013-10-14
  • CT RA
    APPROVED
    Since 2013-08-01

Branch Locations

650 Peter Jefferson Pkwy, Charlottesville, VA 22911 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Southbury CT 07/2013 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-12-06
S63 Uniform Securities Agent State Law Examination 2008-05-29
  • S65 Uniform Investment Adviser Law Examination
    2012-12-06
  • S63 Uniform Securities Agent State Law Examination
    2008-05-29
Other Names
  • Thomas Fullman

View on SEC IAPD

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