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Detailed Report
Tomik Sarkissian
CRD#: 6846407
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
2017201820192020202120222023202420252026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2020 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - Present (5 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2018 - 2019 (1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2017 - 2018 (<1 year)
License(s)

State Registrations

B
California 9/12/2019
B
Texas 2/20/2020
IA
California 1/9/2020
IA
Texas 2/28/2020

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)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 1/9/2020
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 9/12/2019
Previous Registration(s)
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B
 08/27/2018 - 09/11/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) BURBANK, CA
B
 12/13/2017 - 08/14/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PASADENA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.