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Thomas James Casey

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bedminster, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2020-11-23
TX RA APPROVED_RES 2017-08-14
NJ RA APPROVED 2017-08-02
  • PA RA
    APPROVED
    Since 2020-11-23
  • TX RA
    APPROVED_RES
    Since 2017-08-14
  • NJ RA
    APPROVED
    Since 2017-08-02

Branch Locations

1 Crossroads Dr, Bedminster, NJ 07921 • 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 And Smith Incorporated Bedminster NJ 03/2012 Present
Bank Of America, N.A. Bedminster NJ 06/2012 Present
  • 03/2012 → Present
    Merrill Lynch, Pierce, Fenner And Smith Incorporated
    Bedminster, NJ
  • 06/2012 → Present
    Bank Of America, N.A.
    Bedminster, NJ
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-07-28
S66 Uniform Combined State Law Examination 2012-04-27
  • S63 Uniform Securities Agent State Law Examination
    2017-07-28
  • S66 Uniform Combined State Law Examination
    2012-04-27
Other Names
  • Thomas James Casey
  • Thomas Casey

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · FLORHAM PARK, NJ
WELLS FARGO CLEARING SERVICES, LLC · FLORHAM PARK, NJ
ROBERT W. BAIRD & CO. INCORPORATED · Florham Park, NJ
WISS PRIVATE CLIENT ADVISORS, LLC · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
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