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Thomas D Thalman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Charlotte, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2004-10-08
NC RA APPROVED 2002-04-01
  • TX RA
    APPROVED_RES
    Since 2004-10-08
  • NC RA
    APPROVED
    Since 2002-04-01

Branch Locations

620 S Tryon St, Charlotte, NC 28255 • United States

Charlotte, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 01/2002 Present
Bank Of America, N.A. Charlotte NC 04/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-03-11
S63 Uniform Securities Agent State Law Examination 1986-11-05
  • S66 Uniform Combined State Law Examination
    2002-03-11
  • S63 Uniform Securities Agent State Law Examination
    1986-11-05
Other Names
  • Tommy Thalman
  • Thomas D Thalman
  • Thomas David Thalman
  • Tommy David Thalman

View on SEC IAPD

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