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Thomas Wheeler Rogers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mount Pleasant, SC

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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 2019-07-30
SC RA APPROVED 2017-10-18
  • TX RA
    APPROVED
    Since 2019-07-30
  • SC RA
    APPROVED
    Since 2017-10-18

Branch Locations

75 Port City Lndg, Mount Pleasant, SC 29464 • 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 Charleston SC 06/2017 Present
Clemson University Clemson SC 08/2013 05/2017
Bank Of America, N.A. Charleston SC 09/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-17
  • S66 Uniform Combined State Law Examination
    2017-10-17
Other Names
  • Thomas W Rogers
  • Thomas Rogers

View on SEC IAPD

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