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Detailed Report
THOMAS CHARLES SHIMKUS
CRD#: 2294488
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 400 S RAMPART BLVD
LAS VEGAS, NV 89145
Registration History
19952000200520102015202020252 FIRMS1993 - 1997 (4 years)2 FIRMS2009 - Present (15 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2000 - 2009 (9 years)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1998 - 1999 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2003 - 2009 (6 years)
Disclosure(s)
View By:
7/15/2013
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 2/17/2021
B
Montana 7/16/2012
B
Alaska 5/31/2024
B
Nevada 10/23/2009
B
Arizona 10/23/2009
IA
Nevada 10/23/2009
B
Arkansas 7/2/2014
B
New Jersey 7/29/2010
B
California 10/23/2009
B
New Mexico 10/23/2009
B
Colorado 7/29/2010
B
New York 10/23/2009
B
Connecticut 1/11/2013
B
North Carolina 10/23/2009
B
District of Columbia 7/29/2010
B
Ohio 7/29/2010
B
Florida 10/23/2009
B
Oregon 10/14/2024
B
Georgia 10/26/2022
B
Pennsylvania 12/7/2018
B
Hawaii 7/26/2024
B
South Carolina 1/9/2015
B
Illinois 6/26/2014
B
Tennessee 2/23/2017
B
Iowa 12/6/2018
B
Texas 7/29/2010
B
Louisiana 7/10/2018
IA
Texas 8/7/2010
B
Maine 7/29/2010
B
Utah 5/4/2017
B
Maryland 6/30/2022
B
Virginia 7/29/2010
B
Minnesota 7/29/2010
B
Washington 3/5/2012
B
Mississippi 8/25/2021
B
Wyoming 3/28/2022
B
Missouri 11/4/2013

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

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)
400 S RAMPART BLVD, LAS VEGAS, NV 89145
Registered with this firm since 10/23/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
400 S RAMPART BLVD, LAS VEGAS, NV 89145
Registered with this firm since 10/23/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/11/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LAS VEGAS, NV
B
 09/07/2000 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LAS VEGAS, NV
B
 12/04/1998 - 05/13/1999 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
 02/17/1993 - 12/08/1997 NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (CRD#:2881) MILWAUKEE, WI
B
 02/17/1993 - 12/08/1997 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
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.