Thomas Peter John Rosenberg

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
CT	RA	APPROVED	2019-05-02
TX	RA	APPROVED_RES	1997-11-17

NY RA
APPROVED

Since 2021-04-19
CT RA
APPROVED

Since 2019-05-02
TX RA
APPROVED_RES

Since 1997-11-17

Branch Locations

Brookline, MA • United States

One Bryant Park, New York, NY 10036 • 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	New York	NY	03/1987	Present
Bank Of America, N.A.	New York	NY	05/2011	Present

03/1987 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
05/2011 → Present

Bank Of America, N.A.

New York, NY

Other Businesses

(1)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: FAMILY EXEC/TTEE INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NATURE OF BUSINESS: TRUST POSITION, TITLE, ASSOCIATION: TRUSTEE/EXECUTOR START DATE OF RELATIONSHIP: NUMBER OF HOURS DEVOTED PER MONTH: NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: DUTIES: EXECUTOR/ADMINISTRATOR/PERSONAL REPRESENTATIVE TRUSTEE

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-08-29
S63	Uniform Securities Agent State Law Examination	1984-03-02

S65 Uniform Investment Adviser Law Examination

1996-08-29
S63 Uniform Securities Agent State Law Examination

1984-03-02

Other Names

Thomas Peter Rosenberg

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