Thomas Gross

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2012 → 03/2018
  Scottrade
  Mentor, OH
• 02/2018 → 03/2018
  Td Ameritrade, Inc.
  Mentor, OH
• 01/2019 → 02/2019
  Rbc Capital Markets, Llc.
  Cleveland, OH
• 04/2018 → 10/2018
  Unemployed
  Willoughby, OH
• 10/2018 → 10/2018
  Fifth 3Rd Bank
  Cleveland, OH
• 11/2018 → 12/2018
  Unemployed
  Willoughby, OH
• 08/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pepper Pike, OH
• 03/2019 → 07/2019
  Unemployed
  Willoughby, OH

Previous Registrations

• 2019-01-03 → 2019-02-26
  Rbc Capital Markets, Llc
  Westlake, OH
• 2016-12-23 → 2018-04-02
  Scottrade Investment Management
  Saint Louis, MO
• 2009-10-05 → 2012-01-13
  Ameriprise Financial Services, Llc
  Mayfield, OH
  Westlake, OH
• 2006-11-09 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Mayfield, OH
• 2003-04-30 → 2005-07-27
  Td Ameritrade, Inc.
  Woodmere, OH

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-08-13
• S63 Uniform Securities Agent State Law Examination
  1992-12-14

Other Names

• Thomas Joseph Gross
• Thomas J Gross