David K Thomas

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2015-04-22

NC RA
APPROVED

Since 2015-04-22

Branch Locations

100 N Tryon St, Charlotte, NC 28255 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Charlotte	NC	07/2009	Present

07/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Other Businesses

I"1004378", Name of OBA: Thomas Relaxation Sanctuary LLC, Address: Fort Mill, South Carolina, Investment Related: N, Position, Title: ["Owner"], Employee Start Date: 1/1/2023, No Hours: 10, Monthly No Hours: during trading: 0 Duties: Tax preparation and various administrative duties

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-11-04

S66 Uniform Combined State Law Examination

2010-11-04

Other Names

David Kenneth Thomas

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews