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Thomas Francis Nelson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Vero Beach, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APP_PEND_IARCE 2026-01-01
  • FL RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

660 Beachland Blvd, Vero Beach, FL 32963 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Vero Beach FL 02/2009 Present
Bank Of America, N.A. Vero Beach FL 07/2011 Present
Previous Registrations
  • 2002-08-20 → 2009-03-26
    Ubs Financial Services Inc.
    Vero Beach, FL
    Vero Beach, FL
  • 1991-01-01 → 2002-08-23
    Morgan Stanley Dw Inc.
    Vero Beach, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-25
S63 Uniform Securities Agent State Law Examination 1988-03-11
  • S66 Uniform Combined State Law Examination
    2006-03-25
  • S63 Uniform Securities Agent State Law Examination
    1988-03-11
Other Names
  • Tom Nelson

View on SEC IAPD

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CHARLES SCHWAB & CO., INC. · Vero Beach, FL
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