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James Scott Tomoda

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westport, CT

Wellesley Hills, MA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2015-07-24
TX RA APPROVED_RES 2015-05-04
  • CT RA
    APPROVED
    Since 2015-07-24
  • TX RA
    APPROVED_RES
    Since 2015-05-04

Branch Locations

Westport, CT • United States

45 William St, Wellesley Hills, MA 02481 • 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, Pierce, Fenner & Smith Incorporated Wellesley Hills MA 05/2015 Present
Bank Of America, N.A. Wellesley Hills MA 08/2015 Present
Previous Registrations
  • 2014-05-09 → 2015-05-15
    Morgan Stanley
    Wellesley, MA
    Fairfield, CT
    Westport, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-08
  • S66 Uniform Combined State Law Examination
    2000-08-08

View on SEC IAPD

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