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Thomas Frederick Holl

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwood Village, CO

Seattle, WA

Spokane, WA

Kirkland, WA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
ID RA APPROVED 2021-06-07
WA RA APPROVED 2019-11-20
TX RA APPROVED_RES 2019-11-07
  • ID RA
    APPROVED
    Since 2021-06-07
  • WA RA
    APPROVED
    Since 2019-11-20
  • TX RA
    APPROVED_RES
    Since 2019-11-07

Branch Locations

6400 S Fiddlers Green Cir, Greenwood Village, CO 80111 • United States

401 Union St, Seattle, WA 98101 • United States

601 W Riverside Ave, Spokane, WA 99201 • United States

Kirkland, WA • 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
Rbc Capital Markets Corporation Seattle WA 06/2010 09/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bellevue WA 09/2019 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-20
S63 Uniform Securities Agent State Law Examination 2006-01-27
  • S66 Uniform Combined State Law Examination
    2019-11-20
  • S63 Uniform Securities Agent State Law Examination
    2006-01-27
Other Names
  • Tom Holl
  • Thomas Frederick Holl
  • Thomas Holl

View on SEC IAPD

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Other Offices

DODDS WEALTH, LLC · GREENWOOD VILLAGE, CO
MARSHALL INVESTMENT MANAGEMENT, LLC · GREENWOOD VILLAGE, CO
AXS CAPITAL, LLC · GREENWOOD VILLAGE, CO
MORGAN STANLEY · Greenwood Village, CO
RBC CAPITAL MARKETS, LLC · GREENWOOD VILLAGE, CO
LPL FINANCIAL LLC · GREENWOOD VILLAGE, CO
LPL FINANCIAL LLC · GREENWOOD VILLAGE, CO
WESTERN WEALTH MANAGEMENT LLC · Greenwood Village, CO

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