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Thomas S Soffe

Morgan Stanley

Houston, TX

Provo, UT

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2021-08-19
TX RA APPROVED 2021-08-18
  • UT RA
    APPROVED
    Since 2021-08-19
  • TX RA
    APPROVED
    Since 2021-08-18

Branch Locations

845 Texas Avenue, Houston, TX 77002 • United States

5255 North Edgewood Drive Suite 275, Provo, UT 84604 • 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 San Francisco CA 09/2017 08/2021
Unemployed Lehi UT 08/2016 05/2017
Melaleuca Inc. Idaho Falls ID 05/2017 08/2017
Unemployed Lehi UT 08/2017 09/2017
Bank Of America, N.A. Provo UT 06/2018 08/2021
Morgan Stanley Smith Barney Llc Provo UT 08/2021 Present
  • 09/2017 → 08/2021
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Francisco, CA
  • 08/2016 → 05/2017
    Unemployed
    Lehi, UT
  • 05/2017 → 08/2017
    Melaleuca Inc.
    Idaho Falls, ID
  • 08/2017 → 09/2017
    Unemployed
    Lehi, UT
  • 06/2018 → 08/2021
    Bank Of America, N.A.
    Provo, UT
  • 08/2021 → Present
    Morgan Stanley Smith Barney Llc
    Provo, UT
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-16
  • S66 Uniform Combined State Law Examination
    2013-09-16
Designations
Other Names
  • Thomas Soffe
  • Thomas Steel Soffe

View on SEC IAPD

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