Jeffrey Jon Tompkins

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
SC	RA	APPROVED	2020-12-14
TX	RA	APPROVED_RES	2015-03-24
FL	RA	APPROVED	2015-03-23

SC RA
APPROVED

Since 2020-12-14
TX RA
APPROVED_RES

Since 2015-03-24
FL RA
APPROVED

Since 2015-03-23

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • United States

Landrum, SC • 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	Boca Raton	FL	03/2015	Present
Bank Of America, N.A.	Boca Raton	FL	05/2015	Present

03/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL
05/2015 → Present

Bank Of America, N.A.

Boca Raton, FL

Previous Registrations

2012-04-04 → 2015-04-08

Deutsche Bank Securities Inc.

Palm Beach, FL
2009-06-01 → 2012-03-28

Morgan Stanley

Boca Raton, FL
1991-04-17 → 2009-06-01

Citigroup Global Markets Inc.

Boca Raton, FL

Boca Raton, FL

Other Businesses

I*114058 Entity Type: Non-Profit Name: Jarc Investment related: No Address: Boca Raton, Florida 33428 Position, title, association: Committee Member, Start date of relationship: 5/4/2018 Number of hours devoted: 2 hours Quarterly Number of hours devoted during trading hours: 1 hr Duties: Asked to sit on investment committee of jarc foundation , will find out more about responsibilities at meeting later this week. I*3252276, Entity Type: Fiduciary role Name of OBA: J T TTEE for L K, Address: Boca Raton, FL 33496, Investment Related: No, Position, Title, Association: Trustee, Employee State Date: 12/01/2025, No Hours: 3 Yearly, No Hours during Trading: 1 Yearly, Duties: Trustee/Grandson I*3317267 Entity Type: Fiduciary role Name of OBA: L. K. Address: Boca Raton, Florida, 33496 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 12/08/2025 Number of Hours: 2, Yearly Number of Hours during trading: 2, Yearly Duties: Trustee Child/Grandchild

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-02-27

S63 Uniform Securities Agent State Law Examination

1984-02-27

View on SEC IAPD