Thomas Hickey

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

• 01/1978 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 12/2009 → Present
  Bank Of America, Na
  Chicago, IL

Other Businesses

I*78154FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: CME GROUPINVESTMENT RELATED: YADDRESS OF BUSINESS:CHICAGO, ILLINOIS 60610NATURE OF BUSINESS: OTHER,TRADING RIGHTDPOSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/1996NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: IDEM SEAT TRADING RIGHTS2) I*47552FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: GOOEY ROCK BAND IN CHICAGOINVESTMENT RELATED: NADDRESS OF BUSINESS:WESTERN SPRINGS, ILLINOIS 60558NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OTHER, NOT APPLICABLESTART DATE OF RELATIONSHIP: 12/12/2011NUMBER OF HOURS DEVOTED: 10 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: WE PLAY CLUBS AROUND CHICAGO I*3139272 Entity Type: N/A Name of OBA:C.M.H. TTEE THOMAS M HICKEY TTEE Address:Hinsdale Illinois Investment Related:No Position, Title, Association:Trustee Start Date:09/16/2025 No Hours: 2 Yearly No Hours during trading:0 Yearly Duties:Trustee for Self, Spouse

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-08-02
• S63 Uniform Securities Agent State Law Examination
  1980-07-03

Other Names

• Thomas Michael Hickey