Thomas Faller

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-12-06
CA	RA	APPROVED	2023-09-14

TX RA
APPROVED

Since 2023-12-06
CA RA
APPROVED

Since 2023-09-14

Branch Locations

400 Capitol Mall Suite 1900, Sacramento, CA 95814 • 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
Morgan Stanley	Burlingame	CA	01/2015	05/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Sacramento	CA	05/2018	09/2023
Morgan Stanley	Sacramento	CA	09/2023	Present
Morgan Stanley Private Bank, N.A	New York	NY	10/2023	Present

01/2015 → 05/2018

Morgan Stanley

Burlingame, CA
05/2018 → 09/2023

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sacramento, CA
09/2023 → Present

Morgan Stanley

Sacramento, CA
10/2023 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2018-05-21 → 2023-09-07

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sacramento, CA

Modesto, CA

San Francisco, CA

Pennington, NJ
2015-01-27 → 2018-05-14

Morgan Stanley

Menlo Park, CA

Burlingame, CA

Menlo Park, CA
2014-11-05 → 2015-01-29

J.P. Morgan Securities Llc

San Francisco, CA
2013-04-26 → 2014-11-13

Morgan Stanley

Menlo Park, CA
2008-06-17 → 2013-04-12

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-06-13

S66 Uniform Combined State Law Examination

2008-06-13

Other Names

Thomas Joseph Faller
Thomas Joseph Faller
Thomas J Faller

View on SEC IAPD

Other Firms

GUANILL WEALTH MANAGEMENT

ENDEAVOR FINANCIAL PLANNING

LPL FINANCIAL LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

ROBERT W. BAIRD & CO. INCORPORATED

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

EDWARD SAL GUANILL

GARY PETER LIBHART

PAIGE DETER FARRELL

ROSS BEARDSLEE LEVINE

ANDREA LYNN SILVA

LOEL GLEN HEUPEL

JEFFREY I BEDELL

Other Offices

GUANILL WEALTH MANAGEMENT · SACRAMENTO, CA

ENDEAVOR FINANCIAL PLANNING · SACRAMENTO, CA

LPL FINANCIAL LLC · SACRAMENTO, CA

LPL FINANCIAL LLC · SACRAMENTO, CA

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SACRAMENTO, CA

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SACRAMENTO, CA

LPL FINANCIAL LLC · SACRAMENTO, CA

ROBERT W. BAIRD & CO. INCORPORATED · SACRAMENTO, CA

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