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Detailed Report
THOMAS MACGREGOR BARNWELL
CRD#: 1052922
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 360 HAMILTON AVE
WHITE PLAINS, NY 10601
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - Present (15 years)BQUICK & REILLY, INC. (CRD# 11217)2000 - 2004 (4 years)BFLEET ENTERPRISES, INC. (CRD# 17434)1997 - 2000 (2 years)BDAVID LERNER ASSOCIATES, INC. (CRD# 5397)1996 - 1997 (1 year)IAQUICK & REILLY, INC. (CRD# 11217)2002 - 2004 (1 year)
Disclosure(s)
View By:
11/21/2005
Customer Dispute
Denied
4/15/2002
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Arizona 7/10/2024
B
New Hampshire 8/9/2022
B
Arkansas 2/14/2023
B
New Jersey 10/23/2009
B
California 10/23/2009
IA
New Jersey 10/23/2009
B
Colorado 3/15/2022
B
New York 10/23/2009
B
Connecticut 10/23/2009
IA
New York 4/19/2021
B
Delaware 6/28/2018
B
North Carolina 10/23/2009
B
District of Columbia 2/7/2023
B
Ohio 5/6/2016
B
Florida 10/23/2009
B
Oregon 4/4/2023
B
Georgia 12/19/2014
B
Pennsylvania 4/4/2012
B
Hawaii 11/18/2024
B
Rhode Island 10/17/2011
B
Illinois 11/22/2021
B
South Carolina 6/28/2017
B
Indiana 3/4/2013
IA
South Carolina 10/13/2020
B
Kentucky 9/3/2015
B
Tennessee 3/2/2017
B
Louisiana 10/30/2019
B
Texas 2/28/2012
B
Maine 2/2/2023
IA
Texas 2/28/2012
B
Maryland 5/30/2018
B
Vermont 9/21/2010
B
Massachusetts 10/23/2009
B
Virginia 3/13/2018
B
Michigan 2/3/2023
B
Washington 9/11/2015
B
Montana 10/26/2012
B
Wisconsin 7/12/2022
B
Nevada 7/29/2022

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
360 HAMILTON AVE, WHITE PLAINS, NY 10601
ISLE OF PALMS, SC
Registered with this firm since 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
360 HAMILTON AVE, WHITE PLAINS, NY 10601
ISLE OF PALMS, SC
Registered with this firm since 10/23/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHAPPAQUA, NY
B
 10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHAPPAQUA, NY
IA
 11/25/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) CHAPPAQUA, NY
B
 08/07/2000 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 09/25/1997 - 08/07/2000 FLEET ENTERPRISES, INC. (CRD#:17434) NEW YORK, NY
B
 08/14/1996 - 10/06/1997 DAVID LERNER ASSOCIATES, INC. (CRD#:5397) SYOSSET, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.