Thomas J Theodore

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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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	2013-06-28
RI	RA	APPROVED	2013-04-10

TX RA
APPROVED_RES

Since 2013-06-28
RI RA
APPROVED

Since 2013-04-10

Branch Locations

901 Main St Central Business Review Unit, Dallas, TX 75202 • United States

3400 Pawtucket Ave Central Business Review Unit, Riverside, RI 02915 • United States

Cumberland, RI • 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	Lincoln	RI	03/2013	Present

03/2013 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lincoln, RI

Previous Registrations

2012-10-17 → 2013-03-25

Santander Securities Llc

Boston, MA

Dorchester, MA
2011-03-31 → 2012-10-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

Lincoln, RI

New York, NY
2010-02-12 → 2010-11-15

Legend Advisory, Llc

Palm Beach Gardens, FL
2008-01-03 → 2009-10-13

Mutual Service Corporation

West Palm Beach, FL

Boston, MA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-12-07

S66 Uniform Combined State Law Examination

2007-12-07

Other Names

Thomas J Theodore
Thomas John Theodore
Thomas Theordore
Thomas John Theodore

View on SEC IAPD

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