Carol Ellen Thomas

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2007-12-05
FL	RA	APPROVED	2005-11-28

TX RA
APPROVED_RES

Since 2007-12-05
FL RA
APPROVED

Since 2005-11-28

Branch Locations

250 International Pkwy, Lake Mary, FL 32746 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Clearwater	FL	11/2005	Present
Bank Of America, Na	Clearwater	FL	12/2009	Present

11/2005 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Clearwater, FL
12/2009 → Present

Bank Of America, Na

Clearwater, FL

Previous Registrations

1994-11-03 → 2005-12-05

Citigroup Global Markets Inc.

Clearwater, FL

Other Businesses

I*3031 For profit or not for profit: Financial Self-Regulatory Organization Name of outside business organization: FINRA Investment related: N Address of business: Boca Raton, Florida 33486 Nature of business: FINRA, Position, title, association: Arbitrator, Start date of relationship: 6/17/2019 Number of hours devoted: 6 hour(s) Quarterly Number of hours devoted during trading hours: 6 Duties: Arbitration panel

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-03-26
S63	Uniform Securities Agent State Law Examination	1992-12-04

S65 Uniform Investment Adviser Law Examination

1993-03-26
S63 Uniform Securities Agent State Law Examination

1992-12-04

Other Names

Carol Ellen Liporace

View on SEC IAPD