Thomas Gaither Bailliere Finney

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

• 03/2010 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Baltimore, MD
• 03/2015 → Present
  Bank Of America, N.A.
  Baltimore, MD

Previous Registrations

• 2002-06-24 → 2002-07-05
  Wilmington Brokerage Services Company
  Wilmington, DE
  Baltimore, MD

Other Businesses

I*66152 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GREATER BALTIMORE MEDICAL CENTER INVESTMENT RELATED: N ADDRESS OF BUSINESS: BALTIMORE, MARYLAND 21204 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: START DATE OF RELATIONSHIP: 09/18/2013 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: I WILL BE A MEMBER OF THE GBMC PHILANTHROPY COMMITTEE RESPONSIBLE FOR RAISING FUNDS FOR THE HOSPITAL'S ENDOWMENT AND FOUNDATION. I*121927 For profit or not for profit: Non-Profit Organization Name of outside business organization: Goodwill Industries of the Chesapeake, Inc Investment related: Y Address of business: Baltimore, Maryland 21202 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 2/4/2019 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 2 Duties: I am part of the audit and finance committee. I attend quarterly meetings to help review their operations and outside manager performance for their endowment funds. I*464128 For profit or not for profit: Name of outside business organization: Goodwill Industries of the Chesapeake, Inc Investment related: N Address of business: OBA, OBA, OBA Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , I am part of the audit and finance committee. I attend quarterly meetings to help review their operations and outside manager performance for their endowment funds.

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-09-08
• S63 Uniform Securities Agent State Law Examination
  1997-12-16

Other Names

• Tom Finney
• Thomas G B Finney
• Thomas Gaither Baillier Finney