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Thomas James Nubel

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Reno, NV

Pasadena, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2009-10-23
  • NV RA
    APPROVED
    Since 2009-10-23

Branch Locations

5370 Kietzke Ln, Reno, NV 89511 • United States

800 E Colorado Blvd, Pasadena, CA 91101 • 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
Bank Of America, N.A. Las Vegas NV 10/1990 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Las Vegas NV 10/2009 Present
Previous Registrations
  • 2007-07-23 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Las Vegas, NV
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-17
S63 Uniform Securities Agent State Law Examination 2000-06-16
  • S66 Uniform Combined State Law Examination
    2007-07-17
  • S63 Uniform Securities Agent State Law Examination
    2000-06-16

View on SEC IAPD

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