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Thomas Hale Maloney

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tustin, 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 2020-06-15
CA RA APPROVED 2020-05-14
  • TX RA
    APPROVED
    Since 2020-06-15
  • CA RA
    APPROVED
    Since 2020-05-14

Branch Locations

13341 Newport Ave, Tustin, CA 92780 • 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 Newport Beach CA 02/2020 Present
Bank Of America, N.A. Newport Beach CA 10/2011 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-13
  • S66 Uniform Combined State Law Examination
    2020-05-13
Other Names
  • Tom Maloney
  • Tom Hale Maloney

View on SEC IAPD

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Other Offices

RMR CAPITAL MANAGEMENT LLC · TUSTIN, CA
CROSSPOINT FINANCIAL, LLC · TUSTIN, CA
EQUITABLE ADVISORS, LLC · TUSTIN, CA
KFICO, LLC REGISTERED INVESTMENT ADVISOR · TUSTIN, CA
CAPITAL SYNERGY PARTNERS · IRVINE, CA
LPL FINANCIAL LLC · IRVINE, CA
PARK AVENUE SECURITIES LLC · IRVINE, CA
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · Irvine, CA

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