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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 2010-04-30
  • TX RA
    APPROVED
    Since 2010-04-30

Branch Locations

301 Commerce St, Fort Worth, TX 76102 • 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 (7691) Fort Worth TX 04/2010 Present
Bank Of America,Naj Fort Worth TX 09/2010 Present
  • 04/2010 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
    Fort Worth, TX
  • 09/2010 → Present
    Bank Of America,Naj
    Fort Worth, TX
Previous Registrations
  • 2004-04-07 → 2010-05-04
    Chase Investment Services Corp.
    Fort Worth, TX
    Hurst, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-24
S63 Uniform Securities Agent State Law Examination 1995-03-31
  • S65 Uniform Investment Adviser Law Examination
    1997-10-24
  • S63 Uniform Securities Agent State Law Examination
    1995-03-31
Other Names
  • Todd Thompson

View on SEC IAPD

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