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THOMAS E WHITLOCK II
THOMAS E WHITLOCK, THOMAS ELLISON WHITLOCK
CRD#: 6069028
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 8075 LEESBURG PIKE
VIENNA, VA 22182
Registration History
201220142016201820202022202420262 FIRMS2013 - Present (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2012 (<1 year)
License(s)

State Registrations

B
Alabama 7/9/2019

B
Nebraska 7/9/2019

B
Alaska 7/9/2019

B
Nevada 7/9/2019

B
Arizona 7/9/2019

B
New Hampshire 7/9/2019

B
Arkansas 7/9/2019

B
New Jersey 7/28/2014

B
California 7/9/2019

B
New Mexico 7/9/2019

B
Colorado 7/9/2019

B
New York 7/28/2014

B
Connecticut 7/9/2019

B
North Carolina 7/9/2019

B
Delaware 7/28/2014

B
North Dakota 7/9/2019

B
District of Columbia 4/26/2013

B
Ohio 7/9/2019

IA
District of Columbia 3/28/2016

B
Oklahoma 7/9/2019

B
Florida 7/28/2014

B
Oregon 7/9/2019

B
Georgia 7/9/2019

B
Pennsylvania 4/30/2014

B
Hawaii 7/9/2019

B
Puerto Rico 7/9/2019

B
Idaho 7/9/2019

B
Rhode Island 7/9/2019

B
Illinois 7/9/2019

B
South Carolina 7/9/2019

B
Indiana 7/9/2019

B
South Dakota 7/9/2019

B
Iowa 7/9/2019

B
Tennessee 7/9/2019

B
Kansas 7/9/2019

B
Texas 1/18/2017

B
Kentucky 7/9/2019

IA
Texas 2/13/2017

B
Louisiana 7/9/2019

B
Utah 7/9/2019

B
Maine 7/9/2019

B
Vermont 7/9/2019

B
Maryland 4/26/2013

B
Virgin Islands 7/9/2019

IA
Maryland 4/26/2013

B
Virginia 4/26/2013

B
Massachusetts 11/7/2013

IA
Virginia 6/28/2019

B
Michigan 7/9/2019

B
Washington 7/9/2019

B
Minnesota 7/9/2019

B
West Virginia 7/28/2014

B
Mississippi 7/9/2019

B
Wisconsin 7/9/2019

B
Missouri 7/9/2019

B
Wyoming 7/9/2019

B
Montana 7/9/2019

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

View Exams Passed by the individual in the detailed report

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)
8075 LEESBURG PIKE, VIENNA, VA 22182
Potomac, MD
Registered with this firm since 4/26/2013

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
8075 LEESBURG PIKE, VIENNA, VA 22182
Potomac, MD
Registered with this firm since 4/25/2013

Previous Registration(s)
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B
08/21/2012 - 10/02/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROCKVILLE, MD
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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.