Thomas Francis Nelson

CRD 1344493 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Vero Beach, FL

IA RegisteredBroker

Also appears in the source record as: Tom Nelson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 31Series 3Series 7Series 66Series 63
Registered states (3): Florida · Massachusetts · New Hampshire
Years in the industry (source record): 38
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1344493 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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Vero Beach, FL · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Vero Beach, FL · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
Vero Beach, FL · IA capacity

Aug 20, 2002 → Mar 26, 2009
Ubs Financial Services Inc.
Vero Beach, FL · BC capacity

Aug 19, 2002 → Mar 26, 2009
Morgan Stanley
Vero Beach, FL · IA capacity

Jan 1, 1991 → Aug 23, 2002
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Feb 12, 1990 → Aug 23, 2002
Shearson Lehman Hutton Inc.
New York, NY · BC capacity

Apr 11, 1988 → Mar 3, 1990
E. F. Hutton & Company Inc
BC capacity

Jan 20, 1988 → Apr 11, 1988

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 1344493 ↗ FINRA BrokerCheck record for CRD 1344493 ↗ 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.