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Thomas Mathew
THOMAS MATHEW
CRD#: 5195788
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)
License(s)

State Registrations

B
California 11/4/2008

B
Ohio 11/20/2017

B
Florida 6/15/2018

B
South Carolina 3/28/2023

B
Illinois 12/6/2006

B
Tennessee 5/29/2024

IA
Illinois 12/6/2006

IA
Texas 2/20/2009

B
Indiana 6/20/2018

B
Texas 4/17/2014

B
Iowa 5/23/2024

B
Utah 3/15/2022

B
Minnesota 7/16/2007

B
Virginia 1/30/2025

B
New Jersey 9/10/2021

B
Washington 10/31/2023

B
New York 6/20/2018

B
Wisconsin 3/12/2012

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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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)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 12/6/2006

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 10/30/2006

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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.