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Ashley A Thomas

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Waukesha, WI

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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 2014-02-27
WI RA APPROVED 2014-02-18
  • TX RA
    APPROVED
    Since 2014-02-27
  • WI RA
    APPROVED
    Since 2014-02-18

Branch Locations

N19 W24400 Riverwood Dr, Waukesha, WI 53188 • 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
Bank Of America, N.A. Waukesha WI 06/2013 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Waukesha WI 09/2010 Present
Previous Registrations
  • 2010-07-29 → 2010-09-08
    Edward Jones
    Chicago, IL
    Chicago, IL
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-15
  • S66 Uniform Combined State Law Examination
    2014-02-15
Other Names
  • Ashley Ann Frank
  • Ashley A Frank

View on SEC IAPD

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BRIAN VICTOR LEHKY
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MIKHAIL I ALKHAZOV
STEVEN ALLEN JAEGER
NOAMAN A.Q. SHARIEF
JEROME JOSEPH VERANTH
MATTHEW ROBERT SLOWINSKI
DANIEL GLENN SIEVERS

Other Offices

DANA INVESTMENT ADVISORS INC · WAUKESHA, WI
DANA INVESTMENT ADVISORS INC · Waukesha, WI
RAYMOND JAMES & ASSOCIATES, INC. · Waukesha, WI
WELLS FARGO CLEARING SERVICES, LLC · WAUKESHA, WI
WORLD INVESTMENT ADVISORS, LLC · Waukesha, WI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAUKESHA , WI
OSAIC WEALTH, INC. · WAUKESHA, WI
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Waukesha, WI

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