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Wesley Scott Thompson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fairhope, AL

Sapphire, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-06-28
TX RA APPROVED_RES 2008-06-30
AL RA APPROVED 2008-06-27
  • NC RA
    APPROVED
    Since 2021-06-28
  • TX RA
    APPROVED_RES
    Since 2008-06-30
  • AL RA
    APPROVED
    Since 2008-06-27

Branch Locations

601 N Section St, Fairhope, AL 36532 • United States

Sapphire, NC • 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 Fairhope AL 06/2008 Present
Bank Of America, Na Fairhope AL 12/2009 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-09-10
S65 Uniform Investment Adviser Law Examination 1993-09-10
  • S63 Uniform Securities Agent State Law Examination
    1993-09-10
  • S65 Uniform Investment Adviser Law Examination
    1993-09-10

View on SEC IAPD

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Other Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · FAIRHOPE, AL
NAVIANT PARTNERS, LLC · FAIRHOPE, AL
APTUS CAPITAL ADVISORS, LLC · FAIRHOPE, AL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fairhope, AL
PNC WEALTH MANAGEMENT LLC · FAIRHOPE, AL
WELLS FARGO CLEARING SERVICES, LLC · FAIRHOPE, AL
HAYEK KALLEN INVESTMENT MANAGEMENT L.L.C. · FAIRHOPE, AL
STIFEL, NICOLAUS & COMPANY, INCORPORATED · FAIRHOPE, AL

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