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Thomas J Travers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Melville, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
CT RA APPROVED 2008-05-06
TX RA APPROVED_RES 2005-04-15
  • NY RA
    APPROVED
    Since 2021-04-19
  • CT RA
    APPROVED
    Since 2008-05-06
  • TX RA
    APPROVED_RES
    Since 2005-04-15

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Great Neck NY 09/1985 Present
Bank Of America, Na Great Neck NY 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-05-03
S63 Uniform Securities Agent State Law Examination 1985-12-27
  • S65 Uniform Investment Adviser Law Examination
    2008-05-03
  • S63 Uniform Securities Agent State Law Examination
    1985-12-27
Other Names
  • Thomas Joseph Travers

View on SEC IAPD

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