Thomas Zimmer

CRD 1622980 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Jacksonville, FL

IA RegisteredBroker

Also appears in the source record as: Thomas T Zimmer; Thomas T. Zimmer; Thomas Tedrick Zimmer

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63Series 6TOSIESeries 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 38
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 (14)

From the source registration record · current first

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

Jan 20, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Jacksonville, FL · BC capacity

start not retrieved → present
Empower Advisory Group, LLC
IA capacity

Jul 22, 2022 → Nov 8, 2022
Empower Financial Services, Inc.
BD capacity

Jul 11, 2022 → Nov 8, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 23, 2013 → May 3, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Oct 23, 2013 → May 3, 2022
Fifth Third Securities, Inc.
IA capacity

Dec 6, 2011 → Sep 6, 2013
Fifth Third Securities, Inc.
BD capacity

Dec 5, 2011 → Sep 6, 2013
Bbva Wealth Solutions Inc.
IA capacity

Apr 13, 2011 → Dec 2, 2011
Bbva Compass Investment Solutions, Inc
BD capacity

Feb 23, 2011 → Dec 2, 2011
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Nov 19, 2009 → Dec 10, 2010
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 19, 2009 → Dec 10, 2010
Fidelity Brokerage Services LLC
BD capacity

Oct 15, 2007 → Oct 1, 2009
Cs First Boston Corporation
BD capacity

Oct 20, 1988 → Mar 14, 1990

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1622980 ↗ FINRA BrokerCheck record for CRD 1622980 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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