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Thomas Maxey

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Jacksonville, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-11-09
TX RA APPROVED 2017-10-25
  • FL RA
    APPROVED
    Since 2017-11-09
  • TX RA
    APPROVED
    Since 2017-10-25

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

9000 Southside Blvd Bldg 500, Jacksonville, FL 32256 • 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 Jacksonville FL 05/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-19
  • S66 Uniform Combined State Law Examination
    2017-10-19

View on SEC IAPD

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