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THOMAS RAY TUCKER
CRD#: 2907171
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1414 MASSACHUSETTS AVE
CAMBRIDGE, MA 02138
Registration History
199820002002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2016 - Present (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - Present (11 years)BSTATE STREET GLOBAL MARKETS, LLC (CRD# 30107)2002 - 2012 (10 years)BRUSSELL FUND DISTRIBUTORS, INC. (CRD# 21771)1997 - 2002 (4 years)
License(s)

State Registrations

B
Arizona 5/16/2024

B
New Jersey 6/12/2013

B
California 6/12/2013

B
New Mexico 9/1/2022

B
Colorado 7/15/2019

B
New York 6/12/2013

B
Connecticut 6/12/2013

B
North Carolina 6/13/2013

B
Delaware 2/1/2022

B
Ohio 6/12/2013

B
Florida 6/12/2013

B
Pennsylvania 6/12/2013

B
Georgia 6/12/2013

B
Puerto Rico 1/24/2023

B
Kentucky 6/12/2013

B
Rhode Island 6/11/2013

B
Louisiana 10/7/2020

IA
Rhode Island 3/8/2016

B
Maine 6/12/2013

B
South Carolina 10/21/2019

B
Maryland 6/12/2013

B
Tennessee 6/12/2013

B
Massachusetts 6/12/2013

B
Texas 6/12/2013

B
Michigan 10/21/2019

IA
Texas 2/4/2016

B
Minnesota 6/12/2013

B
Vermont 6/12/2013

B
Missouri 6/12/2013

B
Virginia 6/12/2013

B
Montana 3/15/2021

B
Washington 6/12/2013

B
Nevada 6/12/2013

B
Wisconsin 10/21/2019

B
New Hampshire 6/12/2013

B
Wyoming 10/21/2019

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)
1414 MASSACHUSETTS AVE, CAMBRIDGE, MA 02138
Registered with this firm since 2/4/2016

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1414 MASSACHUSETTS AVE, CAMBRIDGE, MA 02138
Registered with this firm since 6/11/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/28/2002 - 02/06/2012 STATE STREET GLOBAL MARKETS, LLC (CRD#:30107) BOSTON, MA
B
08/13/1997 - 03/01/2002 RUSSELL FUND DISTRIBUTORS, INC. (CRD#:21771) SEATTLE, WA
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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.