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Thomas Puleo
CRD#: 7736728
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 300 BROADHOLLOW RD
MELVILLE, NY 11747
Registration History
2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
New York 12/5/2023

IA
New York 12/5/2023

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)
300 BROADHOLLOW RD, MELVILLE, NY 11747
Registered with this firm since 12/5/2023

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
300 BROADHOLLOW RD, MELVILLE, NY 11747
Registered with this firm since 8/22/2023

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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.