James Dewey Tomlin

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-12-21
NY	RA	APPROVED	2021-04-19
CT	RA	APPROVED	2008-06-20
NJ	RA	APPROVED	2008-03-19
TX	RA	APPROVED_RES	2005-12-03

FL RA
APPROVED

Since 2022-12-21
NY RA
APPROVED

Since 2021-04-19
CT RA
APPROVED

Since 2008-06-20
NJ RA
APPROVED

Since 2008-03-19
TX RA
APPROVED_RES

Since 2005-12-03

Branch Locations

1325 Franklin Ave, Garden City, NY 11530 • United States

Jupiter, FL • United States

Disclosures

2 disclosure categories 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 Yes
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	Garden City	NY	12/1981	Present
Bank Of America, Na	Garden City	NY	12/2009	Present

12/1981 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Garden City, NY
12/2009 → Present

Bank Of America, Na

Garden City, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-06-09
S63	Uniform Securities Agent State Law Examination	1982-04-23

S65 Uniform Investment Adviser Law Examination

2008-06-09
S63 Uniform Securities Agent State Law Examination

1982-04-23

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

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