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TINU THOMPSON
CRD#: 4815077
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2018 - Present (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2016 - Present (8 years)BPNC INVESTMENTS (CRD# 129052)2015 - 2015 (<1 year)BPNC INVESTMENTS (CRD# 129052)2012 - 2014 (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2012 (5 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2006 - 2007 (<1 year)BJ.P. MORGAN SECURITIES INC. (CRD# 18718)2006 - 2006 (<1 year)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2004 - 2005 (<1 year)
License(s)

State Registrations

B
Alabama 2/4/2019

B
Nebraska 2/4/2019

B
Alaska 2/4/2019

B
Nevada 2/20/2019

B
Arizona 2/7/2019

B
New Hampshire 2/11/2019

B
Arkansas 2/4/2019

B
New Jersey 2/4/2019

B
California 2/4/2019

B
New Mexico 2/4/2019

B
Colorado 2/4/2019

B
New York 2/4/2019

B
Connecticut 2/4/2019

B
North Carolina 2/4/2019

B
Delaware 2/11/2019

B
North Dakota 2/5/2019

B
District of Columbia 2/8/2019

B
Ohio 2/4/2019

B
Florida 2/5/2019

B
Oklahoma 2/4/2019

B
Georgia 2/4/2019

B
Oregon 4/23/2019

B
Hawaii 3/13/2019

B
Pennsylvania 2/7/2019

B
Idaho 2/4/2019

B
Puerto Rico 2/7/2019

B
Illinois 5/16/2016

B
Rhode Island 2/13/2019

IA
Illinois 1/18/2018

B
South Carolina 2/4/2019

B
Indiana 2/4/2019

B
South Dakota 2/4/2019

B
Iowa 2/4/2019

B
Tennessee 2/4/2019

B
Kansas 2/8/2019

B
Texas 1/18/2018

B
Kentucky 2/6/2019

IA
Texas 1/18/2018

B
Louisiana 2/4/2019

B
Utah 2/4/2019

B
Maine 2/5/2019

B
Vermont 2/4/2019

B
Maryland 2/5/2019

B
Virgin Islands 2/4/2019

B
Massachusetts 2/4/2019

B
Virginia 2/5/2019

B
Michigan 2/5/2019

B
Washington 2/1/2019

B
Minnesota 2/11/2019

B
West Virginia 2/20/2019

B
Mississippi 2/4/2019

B
Wisconsin 2/8/2019

B
Missouri 2/4/2019

B
Wyoming 2/4/2019

B
Montana 2/4/2019

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)
110 N WACKER DR, CHICAGO, IL 60606
Palatine, IL
Registered with this firm since 1/18/2018

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Palatine, IL
Registered with this firm since 5/13/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/18/2015 - 09/29/2015 PNC INVESTMENTS (CRD#:129052) CHICAGO, IL
B
10/02/2012 - 09/30/2014 PNC INVESTMENTS (CRD#:129052) CHICAGO, IL
B
05/29/2007 - 09/24/2012 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHICAGO, IL
B
10/30/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) CHICAGO, IL
B
07/01/2006 - 10/05/2006 J.P. MORGAN SECURITIES INC. (CRD#:18718) CHICAGO, IL
B
07/06/2005 - 10/02/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
09/12/2005 - 07/01/2006 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
08/05/2004 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
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Broker
IA
Investment Adviser
Disclosures
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