Thomas Gaither Bailliere Finney

CRD 1627651 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Hunt Valley, MD

IA RegisteredBroker

Also appears in the source record as: Thomas G B Finney; Thomas Gaither Baillier Finney; Tom Finney

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 10Series 24Series 65Series 63
Registered states (31): Alabama · Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Maine · Maryland · Massachusetts · Minnesota · Missouri · New Hampshire · New Jersey · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 32
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Hunt Valley, MD · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Hunt Valley, MD · BC capacity

start not retrieved → present
Wilmington Brokerage Services Company
Baltimore, MD · BC capacity

Feb 8, 2002 → Mar 29, 2010
Wilmington Brokerage Services Company
Baltimore, MD · IA capacity

Jun 24, 2002 → Jul 5, 2002
Suntrust Securities, Inc.
Atlanta, GA · BC capacity

May 26, 2000 → Jan 28, 2002
Crestar Securities Corporation
Richmond, VA · BC capacity

Oct 27, 1997 → May 26, 2000
Alex. Brown & Sons Incorporated
BC capacity

Jun 27, 1990 → Aug 26, 1991
First Maryland Brokerage Corporation
Baltimore, MD · BC capacity

Feb 7, 1989 → Mar 8, 1990
T. Rowe Price Investment Services, Inc.
Baltimore, MD · BC capacity

Feb 26, 1987 → Feb 14, 1989

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 1627651 ↗ FINRA BrokerCheck record for CRD 1627651 ↗ 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.