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Daniel Mark Tomlinson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Brea, 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
TX RA APPROVED 2018-03-07
CA RA APPROVED 2017-11-22
  • TX RA
    APPROVED
    Since 2018-03-07
  • CA RA
    APPROVED
    Since 2017-11-22

Branch Locations

145 S State College Blvd, Brea, CA 92821 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Brea CA 04/2017 Present
Plug Video Productions Yorba Linda CA 01/2004 04/2017
Shelterhalf Productions Whittier CA 10/2014 04/2017
North Orange County Regional Occupancy Program Anaheim CA 06/2014 09/2016
Bank Of America, N.A. Brea CA 01/2018 Present
  • 04/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Brea, CA
  • 01/2004 → 04/2017
    Plug Video Productions
    Yorba Linda, CA
  • 10/2014 → 04/2017
    Shelterhalf Productions
    Whittier, CA
  • 06/2014 → 09/2016
    North Orange County Regional Occupancy Program
    Anaheim, CA
  • 01/2018 → Present
    Bank Of America, N.A.
    Brea, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-21
  • S66 Uniform Combined State Law Examination
    2017-11-21
Other Names
  • Daniel Tomlinson

View on SEC IAPD

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