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David Edward Thomas

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lake Oswego, OR

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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 2021-10-06
CA RA APPROVED 2020-02-03
  • TX RA
    APPROVED
    Since 2021-10-06
  • CA RA
    APPROVED
    Since 2020-02-03

Branch Locations

6000 Meadows Rd, Lake Oswego, OR 97035 • 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 Portland OR 10/2019 Present
Washington County Community Corrections Hillsboro OR 03/2017 10/2019
Westcare Portland OR 01/2016 12/2017
Bank Of America N.A. Portland OR 11/2019 Present
  • 10/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Portland, OR
  • 03/2017 → 10/2019
    Washington County Community Corrections
    Hillsboro, OR
  • 01/2016 → 12/2017
    Westcare
    Portland, OR
  • 11/2019 → Present
    Bank Of America N.A.
    Portland, OR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-30
  • S66 Uniform Combined State Law Examination
    2020-01-30
Other Names
  • Dave Edward Thomas

View on SEC IAPD

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LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
PACIFIC RIDGE CAPITAL PARTNERS, LLC

Other Investors

Grace Buchanan
ANDREW GEORGE ROUNSAVELLE CARTER
LISA M CASELLI
Nicholas Jacob Hubert
Catherine A Groff
MARCUS CHRISTIAN PARKER
JEFFREY DAVID KANTOR
JUSTIN PATRICK LINDSEY

Other Offices

PANORAMIC CAPITAL PARTNERS LLC · LAKE OSWEGO, OR
NORTHMARQ FUND MANAGEMENT, LLC · LAKE OSWEGO, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR
RBC CAPITAL MARKETS, LLC · Lake Oswego, OR
CWM, LLC · Lake Oswego, OR
LPL FINANCIAL LLC · LAKE OSWEGO, OR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Lake Oswego, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR

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