Thomas A D'avanzo

CRD 1201259 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Southbury, CT

IA RegisteredBroker

Also appears in the source record as: Thomas Aurelio D'avanzo; Thomas Aurelio Davanzo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 3Series 66Series 63
Registered states (19): Arizona · California · Connecticut · Delaware · Florida · Georgia · Maine · Massachusetts · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Wyoming
Years in the industry (source record): 22
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 (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Southbury, CT · IA capacity

Jan 18, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Southbury, CT · BC capacity

Jan 10, 2018 → present
Pruco Securities, LLC.
White Plains, NY · BC capacity

Mar 30, 2016 → Nov 27, 2017
Equity Services, Inc.
White Plains, NY · BC capacity

Dec 13, 2013 → Apr 28, 2016
Cross Point Capital LLC
New York, NY · BC capacity

May 6, 2013 → Nov 5, 2013
Auriga USA, LLC
New York, NY · BC capacity

Mar 1, 2012 → Feb 26, 2013
Cohen & Company Capital Markets, LLC
New York, NY · BC capacity

Oct 6, 2011 → Feb 17, 2012
Aladdin Capital LLC
Stamford, CT · BC capacity

Oct 22, 2009 → Aug 3, 2011
Abn Amro Incorporated
Stamford, CT · BC capacity

May 30, 1997 → Jul 22, 1998
Bzw Securities Inc.
New York, NY · BC capacity

Sep 23, 1993 → May 7, 1997
Electronic Trading Systems, L.P.
BC capacity

Apr 21, 1993 → Sep 21, 1993
Mmar Group, Inc.
Houston, TX · BC capacity

Dec 10, 1992 → Apr 5, 1993
Amfco Securities, Inc.
BC capacity

Oct 19, 1983 → Feb 25, 1984

Source & corrections

Where this page comes from

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