Timothy R Cass

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2006-08-25
TX	RA	APPROVED	2006-08-25

CA RA
APPROVED

Since 2006-08-25
TX RA
APPROVED

Since 2006-08-25

Branch Locations

3775 Via Nona Marie Pbig - Carmel Private Wealth Ctr, Carmel, CA 93922 • United States

Carmel Valley, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Carmel	CA	08/2006	Present
Bank Of America, N.A.	Carmel	CA	06/2011	Present

08/2006 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Carmel, CA
06/2011 → Present

Bank Of America, N.A.

Carmel, CA

Previous Registrations

1996-10-08 → 2006-08-28

Morgan Stanley Dw Inc.

Monterey, CA

Monterey, CA

Other Businesses

I*435299 Entity Type: Charitable Name of OBA:Trinity Christian High School Address:Monterey California Investment Related:No Position, Title, Association:Board Member Start Date:07/02/2012 No Hours: 5 Monthly No Hours during trading:0 Monthly Duties:Christian education

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-04-04
S63	Uniform Securities Agent State Law Examination	1982-07-02

S65 Uniform Investment Adviser Law Examination

1996-04-04
S63 Uniform Securities Agent State Law Examination

1982-07-02

Other Names

Tim Cass
Tim Cass
Timothy Robert Cass

View on SEC IAPD