Thomas David Avazian

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-09-25

FL RA
APPROVED

Since 2023-09-25

Branch Locations

Yamato Office Center 999 Yamato Road, Suite 300, Boca Raton, FL 33431 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Miami	FL	06/1992	09/2023
Bank Of America, N.A.	Miami	FL	03/2020	09/2023
Oppenheimer & Co, Inc.	Boca Raton	FL	09/2023	Present

06/1992 → 09/2023

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miami, FL
03/2020 → 09/2023

Bank Of America, N.A.

Miami, FL
09/2023 → Present

Oppenheimer & Co, Inc.

Boca Raton, FL

Previous Registrations

2020-06-05 → 2023-09-25

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miami, FL

Coral Gables, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-06-02

S66 Uniform Combined State Law Examination

2020-06-02