Individual Firm
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Marc Andrew Thomas
MARC ANDREW THOMAS, Marc Thomas
CRD#: 2687779
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
PASADENA, CA 91101
0
Disclosures
21
Years of Experience
View By:
State Registrations
IA
California 4/7/2017
B
Kentucky 5/5/2020
B
California 6/12/2017
B
Nevada 11/3/2018
B
Delaware 4/3/2023
B
New York 4/8/2020
B
Florida 8/2/2017
B
North Carolina 2/13/2018
B
Georgia 4/26/2024
B
Oregon 3/24/2022
B
Idaho 6/2/2023
IA
Texas 8/7/2017
B
Illinois 2/15/2024
B
Texas 3/10/2021
B
Indiana 8/2/2017
B
Washington 10/12/2018
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 4/7/2017
B
Registered with this firm since 5/16/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/21/2008 - 04/03/2017 | LA CRESCENTA, CA | |
B | 05/28/2002 - 10/14/2003 | HARTFORD, CT | |
B | 07/13/1999 - 06/18/2001 | WESTLAKE, TX | |
B | 06/24/1999 - 07/08/1999 | WEEHAWKEN, NJ | |
B | 03/14/1997 - 05/14/1999 | WESTLAKE, TX |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.