Thomas Todd Thompson

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

• 02/1983 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Lubbock, TX
• 12/2009 → Present
  Bank Of America, Na
  Lubbock, TX

Other Businesses

I*882247 For profit or not for profit: Entity For Profit Name of outside business organization: 3T Capital Holdings, LLC Investment related: N Address of business: Lubbock, Texas, 79424 Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 6/24/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I am just a member of the LLC, This entity was formed with my niece (Taylor D. Thompson) and my nephew (Tyler Bryce Thompson). Their father (my brother) is deceased. The purpose of the entity is to invest alongside with my niece and nephew into private investments opportunities that ar I*835262 For profit or not for profit: Entity For Profit Name of outside business organization: FM 651,LLC Investment related: N Address of business: Lubbock, Texas, 79407 Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 5/27/2022 Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , The entity FM 651, LLC was formed to invest in various investment opportunities - that are not available in the public markets nor offered thru Bank of America / Merrill Lynch or its affiliates. The LLC has 2 partners, myself and a friend of mine I*79741 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: TEXAS TECH EQUESTRIAN CENTER INVESTMENT RELATED: N ADDRESS OF BUSINESS: P.O. BOX 42123, LUBBOCK, TEXAS 79403 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 8/1/2013 NUMBER OF HOURS DEVOTED: 3 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TO ACT AS STEERING COMMITTEE AND GIVE ADVICE TO THE PROGRAMS UNDER THE TTU EQUESTRAIN CENTER. HELP WITH POLICIES & PROCEDURES AND FUND REAISING. THE EQUESTRIAN CENTER BOARD MEETS ONLY ONCE PER YEAR. I*96135 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: (RANCH) INVESTMENT RELATED: N ADDRESS OF BUSINESS: CROSBYTON, TEXAS 79322 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/1/2009 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS A SMALL PIECE OF RANCH PROPERTY (177 ACRES) THAT WAS PURCHASED BY MYSELF & MY WIFE IN 2009. I HAVE A FEW HEAD OF CATTLE THAT I GRAZE ON THE RANCH. THE COWS ARE A HOBBY OF MINE. I MAINLY USE THE RANCH TO RIDE ATV'S & OCCASIONALLY HUNT QUAIL. I*104727 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: LUBBOCK, TEXAS 79416 NATURE OF BUSINESS: OTHER,SOLE OWNER POSITION, TITLE, ASSOCIATION: OTHER, SOLE OWNER START DATE OF RELATIONSHIP: 4/1/2015 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS RENTAL PROPERTY WAS PURCHASED AS A PLACE FOR MY SON TO LIVE WHILE HE IS A STUDENT. MY SON CURRENTLY DOES LIVE IN THE RENT HOUSE & DOES HAVE A ROOMMATE. HIS ROOMMATE PAYS $400 / MONTH IN RENT DIRECTLY TO ME. ($4,800 PER YEAR) I*1361280 For profit or not for profit: Name of outside business organization: Thompson Cabin Fund Investment related: N Address of business: Vadito, New Mexico, 87579, United States Nature of business: ["HOA, Co-op, Freehold"] Position, title, association: ["Other"], Start date of relationship: 1/1/2005 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I pay the bills, As administrator of the Family Cabin, I pay the utility bills, taxes etc. for the cabin

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-06-03
• S63 Uniform Securities Agent State Law Examination
  1983-06-02

Other Names

• Todd Thompson