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Thad Jacob Pike

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fargo, ND

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
ND RA APPROVED 2009-10-13
TX RA APPROVED 2009-10-02
  • ND RA
    APPROVED
    Since 2009-10-13
  • TX RA
    APPROVED
    Since 2009-10-02

Branch Locations

51 Broadway N, Fargo, ND 58102 • 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 Yes
  • 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 Fargo ND 09/2009 Present
Bank Of America, N.A. Fargo ND 07/2011 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-16
  • S66 Uniform Combined State Law Examination
    2007-10-16
Other Names
  • Thad Jacob Pike
  • Thad J Pike

View on SEC IAPD

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PRIME CAPITAL FINANCIAL · FARGO, ND
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