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WESLEY SCOTT THOMPSON
CRD#: 2382913
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 601 N SECTION ST
FAIRHOPE, AL 36532
Registration History
19952000200520102015202020252 FIRMS2002 - 2008 (6 years)2 FIRMS2008 - Present (16 years)BTHE ROBINSON-HUMPHREY COMPANY, LLC (CRD# 723)1993 - 2002 (8 years)
License(s)

State Registrations

B
Alabama 6/27/2008

B
Michigan 7/12/2023

IA
Alabama 6/27/2008

B
New Jersey 1/13/2009

B
Arizona 1/13/2009

B
New York 6/27/2008

B
California 6/27/2008

B
North Carolina 6/27/2008

B
Colorado 4/22/2019

IA
North Carolina 6/28/2021

B
Delaware 9/20/2023

B
Pennsylvania 1/13/2009

B
Florida 6/27/2008

B
Tennessee 3/21/2012

B
Georgia 6/27/2008

B
Texas 6/27/2008

B
Illinois 2/4/2015

IA
Texas 6/30/2008

B
Louisiana 2/4/2015

B
Vermont 12/17/2018

B
Maine 1/13/2009

B
Washington 10/31/2017

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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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)
601 N SECTION ST, FAIRHOPE, AL 36532
SAPPHIRE, NC
Registered with this firm since 6/27/2008

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
601 N SECTION ST, FAIRHOPE, AL 36532
SAPPHIRE, NC
Registered with this firm since 6/27/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/02/2002 - 07/08/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MONTGOMERY, AL
B
01/02/2002 - 07/08/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MONTGOMERY, AL
B
09/08/1993 - 01/02/2002 THE ROBINSON-HUMPHREY COMPANY, LLC (CRD#:723) ATLANTA, GA
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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.