Thomas William Allers

CRD 1131822 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Williamsville, NY

IA RegisteredBroker

Also appears in the source record as: Tom Allers

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 6Series 24Series 65Series 63
Registered states (41): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Georgia · Hawaii · Illinois · Indiana · Iowa · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 35
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Williamsville, NY · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Williamsville, NY · BC capacity

start not retrieved → present
Banc Of America Investment Services, Inc.
Buffalo, NY · IA capacity

Oct 20, 2004 → Oct 23, 2009
Banc Of America Investment Services, Inc.
Buffalo, NY · BC capacity

Oct 20, 2004 → Oct 23, 2009
Quick & Reilly, Inc.
Tonawanda, NY · IA capacity

Feb 20, 2003 → Oct 20, 2004
Quick & Reilly, Inc.
New York, NY · BC capacity

Feb 13, 2003 → Oct 20, 2004
M&t Securities, Inc.
Baltimore, MD · BC capacity

Aug 19, 1997 → Dec 4, 2002
Laughlin Group Advisors, Inc.
Lincoln, NE · BC capacity

Jul 26, 1996 → Aug 26, 1997
Mml Investors Services, Inc.
Springfield, MA · BC capacity

Mar 2, 1992 → Aug 19, 1996
Vantage Securities Of Colorado, Inc.
BC capacity

Jul 22, 1983 → May 24, 1984

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1131822 ↗ FINRA BrokerCheck record for CRD 1131822 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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