Seth Ambrose Thompson

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-07-11
CO	RA	APPROVED	2013-05-16

TX RA
APPROVED_RES

Since 2016-07-11
CO RA
APPROVED

Since 2013-05-16

Branch Locations

100 Fillmore St, Denver, CO 80206 • 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 And Smith Incorporated	Denver	CO	02/2013	Present
Bank Of America, N.A.	Denver	CO	02/2013	Present

02/2013 → Present

Merrill Lynch, Pierce, Fenner And Smith Incorporated

Denver, CO
02/2013 → Present

Bank Of America, N.A.

Denver, CO

Other Businesses

I*502684, Entity Type, Name of OBA: Rental Property 1 Address: Denver, CO 80211 Investment Related: N Position, Title, Association: Owner Employee Start Date: 03/04/2019 No Hours: No Hours during trading: 0 Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-05-14

S66 Uniform Combined State Law Examination

2013-05-14

Other Names

Seth Ambrose Thompson
Seth A Thompson

View on SEC IAPD