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TOM RICHARD HANSEN
THOMAS RICHARD HANSEN, TOM HANSEN
CRD#: 1997463
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2800 POST OAK BLVD
HOUSTON, TX 77056
Registration History
199019952000200520102015202020252 FIRMS1990 - Present (35 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1989 - 1990 (<1 year)
Disclosure(s)
View By:
5/14/2008
Customer Dispute
Denied
License(s)

State Registrations

B
California 3/3/1993

B
New York 6/20/2019

B
Colorado 11/3/1997

B
North Carolina 11/6/2009

B
Connecticut 10/12/2017

B
Ohio 6/2/2016

B
Florida 4/22/2002

B
Oklahoma 6/2/2004

B
Georgia 3/6/2015

B
Oregon 2/27/2012

B
Hawaii 1/8/2021

B
Pennsylvania 1/5/2009

B
Illinois 1/12/1995

B
South Carolina 5/12/2021

B
Kentucky 9/27/1994

B
Tennessee 8/23/2022

B
Louisiana 8/8/2011

B
Texas 2/27/1990

B
Maryland 7/28/2023

IA
Texas 2/27/1990

B
Michigan 9/17/2004

B
Utah 12/6/2017

B
Minnesota 8/29/2013

B
Virginia 9/4/2007

B
Nevada 7/19/2019

B
Wisconsin 5/9/1990

B
New Jersey 7/15/2024

IA
Wisconsin 2/2/1995

B
New Mexico 4/23/2013

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

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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)
2800 POST OAK BLVD, HOUSTON, TX 77056
Registered with this firm since 2/27/1990

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2800 POST OAK BLVD, HOUSTON, TX 77056
Registered with this firm since 2/26/1990

Previous Registration(s)
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B
11/21/1989 - 02/08/1990 SHEARSON LEHMAN HUTTON INC. (CRD#:7506) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.