Thomas Mitchell Germain

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

• 11/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Irvine, CA
• 09/2021 → 07/2022
  Spyglass Corporate Services
  Lake Forest, CA
• 06/2019 → 08/2019
  Premier Aquatic Services
  Aliso Viejo, CA
• 02/2019 → 05/2019
  Oggi's Pizza Express
  San Diego, CA
• 06/2018 → 08/2018
  Premier Aquatic Services
  Aliso Viejo, CA
• 08/2013 → 06/2018
  Unemployed
  Rsm, CA
• 08/2018 → 02/2019
  Unemployed
  Rsm, CA
• 08/2019 → 09/2021
  Unemployed
  Rsm, CA
• 07/2022 → 11/2022
  Unemployed
  Rsm, CA
• 08/2017 → 05/2021
  San Diego State University
  San Diego, CA
• 07/2024 → Present
  Bank Of America, N.A.
  Irvine, CA

Exams

• S66 Uniform Combined State Law Examination
  2024-04-29

Other Names

• Tommy Germain
• Tom Germain