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Lois M Tubbs

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Flemington, NJ

New York, NY

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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 2023-01-31
NJ RA APPROVED 2022-09-02
  • TX RA
    APPROVED
    Since 2023-01-31
  • NJ RA
    APPROVED
    Since 2022-09-02

Branch Locations

200 State Route 31, Flemington, NJ 08822 • United States

One Bryant Park, New York, NY 10036 • 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
Morgan Stanley Flemington NJ 05/2017 06/2021
Bank Of America Whitehouse NJ 08/2011 04/2017
Morgan Stanley Private Bank, National Association New York NY 07/2017 06/2022
Bank Of America Merrill Lynch Flemington NJ 07/2022 Present
None Flemington NJ 07/2021 06/2022
  • 05/2017 → 06/2021
    Morgan Stanley
    Flemington, NJ
  • 08/2011 → 04/2017
    Bank Of America
    Whitehouse, NJ
  • 07/2017 → 06/2022
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 07/2022 → Present
    Bank Of America Merrill Lynch
    Flemington, NJ
  • 07/2021 → 06/2022
    None
    Flemington, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-03
S63 Uniform Securities Agent State Law Examination 1992-12-24
  • S66 Uniform Combined State Law Examination
    2017-08-03
  • S63 Uniform Securities Agent State Law Examination
    1992-12-24
Other Names
  • Lois Marie Tubbs
  • Lois Tubbs
  • Lois M Tubbs

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Flemington, NJ
CETERA INVESTMENT ADVISERS LLC · FLEMINGTON, NJ
J.P. MORGAN SECURITIES LLC · FLEMINGTON, NJ
EDWARD JONES · FLEMINGTON, NJ
AMERIPRISE FINANCIAL SERVICES, LLC · FLEMINGTON, NJ
RAND FINANCIAL PLANNING, LLC · FLEMINGTON, NJ
ARTEMIS WEALTH ADVISORS · FLEMINGTON, NJ
PRIVATE ADVISOR GROUP, LLC · Flemington, NJ

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