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Thomas Paul Wertz

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Camp Hill, PA

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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_RES 2015-01-21
PA RA APPROVED 2010-06-21
  • TX RA
    APPROVED_RES
    Since 2015-01-21
  • PA RA
    APPROVED
    Since 2010-06-21

Branch Locations

214 Senate Ave, Camp Hill, PA 17011 • 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 Camp Hill PA 07/1991 Present
Bank Of America, N.A. Camp Hill PA 05/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-06-17
S63 Uniform Securities Agent State Law Examination 1991-09-26
  • S65 Uniform Investment Adviser Law Examination
    2010-06-17
  • S63 Uniform Securities Agent State Law Examination
    1991-09-26

View on SEC IAPD

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