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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_RES 2000-01-11
CA RA APPROVED 1999-07-06
  • TX RA
    APPROVED_RES
    Since 2000-01-11
  • CA RA
    APPROVED
    Since 1999-07-06

Branch Locations

2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States

Manhattan Beach, CA • 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 Los Angeles CA 02/1999 Present
Bank Of America, N.A. Los Angeles CA 06/2011 Present
Other Businesses

I*860296 For profit or not for profit: Entity For Profit Name of outside business organization: Tritonis LLC Investment related: N Address of business: Tiburon, California, 94920 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 5/25/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , buying a townhome at UCSD I*18989 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WEALTH ADVISORY E.A INVESTMENT RELATED: N ADDRESS OF BUSINESS: LOS ANGELES, CALIFORNIA 90067 NATURE OF BUSINESS: OTHER,TEAM EXPENSE POOL POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 0001-01-01 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: GENERAL PARTNER (2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WAS PARTNERSHIP I INVESTMENT RELATED: YES ADDRESS OF BUSINESS: LOS ANGELES, CALIFORNIA 90067 NATURE OF BUSINESS: GENERAL PARTNERSHIP POSITION, TITLE, ASSOCIATION: GENERAL PARTNER START DATE OF RELATIONSHIP: 12/12/2000 NUMBER OF HOURS DEVOTED: 0 HOUR(S) MONTHLY NUMBER OF HOURS DURING TRADING HOURS: 0 HOUR(S) MONTHLY DUTIES: PARTNERSHIP ACCOUNT AT ML SO THAT THE PARTNERS ON THE TEAM COULD INVEST.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-04
S63 Uniform Securities Agent State Law Examination 1995-11-16
  • S65 Uniform Investment Adviser Law Examination
    1999-06-04
  • S63 Uniform Securities Agent State Law Examination
    1995-11-16
Other Names
  • Tom Tournat
  • Thomas Paul Tournat

View on SEC IAPD

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