Thomas Warren Ketzer

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2022 → 06/2023
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 02/2020 → 08/2020
  Kennedy Law Associates
  Ballantyne, NC
• 03/2019 → 07/2022
  Point Blank Range
  Matthews, NC
• 06/2016 → 12/2017
  Agape Medical
  Macon, GA
• 01/2018 → 03/2019
  Dicks Sporting Goods
  Matthews, NC
• 08/2019 → 02/2020
  Ascent @ 1801
  Charlotte, NC
• 08/2019 → 05/2023
  Western Carolina University
  Cullowhee, NC
• 10/2022 → Present
  Bank Of America N.A.
  Charlotte, NC
• 10/2024 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 06/2023 → 10/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC

Other Businesses

I*3595265Entity Type: Entity GovernmentalName of OBA: South Piedmont Community CollegeAddress: Monroe, North Carolina, 28110Investment Related: NoPosition, Title, Association: EmployeeEmployee Start Date: 01/22/2026Number of Hours: 8, WeeklyNumber of Hours during trading: 0, WeeklyDuties: Educational Institution Help teach the EMT class Tues/Thurs night from 6pm-10pm I*4809267, Entity Type: Entity Charitable, Name of OBA: New Salem Volunteer Fire Department, Address: Marshville, North Carolina, 28103, Investment Related: N, Position, Title, Association: ["Employee"], Employee Start Date: 07/13/2026, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties: Responding to emergency calls for service Fire Department I*4810267, Entity Type: Entity Charitable, Name of OBA: Hemby Bridge Volunteer Fire Department, Address: Indian Trail, North Carolina, 28079, Investment Related: N, Position, Title, Association: ["Employee"], Employee Start Date: 07/13/2026, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties: respond to emergency calls for service fire department

Exams

• S66 Uniform Combined State Law Examination
  2023-01-13

Other Names

• Warren Ketzer