Jeffrey Jon Tompkins

CRD 1213280 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Boca Raton, FL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 10Series 9Series 8Series 63
Registered states (23): Arizona · California · Colorado · Connecticut · Florida · Georgia · Illinois · Maryland · Michigan · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Virginia · Wisconsin
Years in the industry (source record): 42
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1213280 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · 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
Boca Raton, FL · IA capacity

Mar 23, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boca Raton, FL · BC capacity

Mar 20, 2015 → present
Deutsche Bank Securities Inc.
Palm Beach, FL · IA capacity

Apr 4, 2012 → Apr 8, 2015
Deutsche Bank Securities Inc.
Palm Beach, FL · BC capacity

Mar 28, 2012 → Apr 8, 2015
Morgan Stanley Smith Barney LLC
Boca Raton, FL · IA capacity

Jun 1, 2009 → Mar 28, 2012
Morgan Stanley Smith Barney
Boca Raton, FL · BC capacity

Jun 1, 2009 → Mar 28, 2012
Citigroup Global Markets Inc.
Boca Raton, FL · IA capacity

Apr 17, 1991 → Jun 1, 2009
Citigroup Global Markets Inc.
Boca Raton, FL · BC capacity

May 25, 1989 → Jun 1, 2009
Drexel Burnham Lambert Incorporated
BC capacity

Sep 5, 1984 → Jul 27, 1989
J. B. Hanauer & Co.
BC capacity

Nov 23, 1983 → Aug 20, 1984

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1213280 ↗ FINRA BrokerCheck record for CRD 1213280 ↗ 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.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.