Vincent Pierre Thompson

CRD 1692489 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · West Hartford, CT

IA RegisteredBroker

Also appears in the source record as: Vin Thompson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 3Series 7Series 66Series 63
Registered states (2): California · Connecticut
Years in the industry (source record): 26
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
West Hartford, CT · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
West Hartford, CT · BC capacity

start not retrieved → present
Crito Capital LLC
Westport, CT · BC capacity

May 3, 2018 → Nov 11, 2022
Foreside Fund Services, LLC
New York, NY · BC capacity

Mar 15, 2016 → Sep 21, 2017
Global Strategic Investments, LLC
Brooklyn, NY · BC capacity

Dec 21, 2011 → Jul 5, 2012
Brevan Howard US LLC
New York, NY · BC capacity

Dec 23, 2009 → Dec 19, 2011
J.P. Morgan Institutional Investments Inc.
New York, NY · BC capacity

Aug 25, 2004 → Dec 14, 2006
Salomon Smith Barney Inc.
New York, NY · BC capacity

Feb 1, 2000 → Aug 8, 2001
Eaton Vance Distributors, Inc.
Boston, MA · BC capacity

Oct 9, 1998 → Dec 13, 1999
John Hancock Distributors, Inc.
Boston, MA · BC capacity

Feb 26, 1996 → Feb 10, 1998
John Hancock Mutual Life Insurance Company
Boston, MA · BC capacity

Feb 26, 1996 → May 1, 1997
Kidder, Peabody & Co. Incorporated
New York, NY · BC capacity

Apr 14, 1992 → Jan 11, 1995
Dean Witter Reynolds Inc.
Purchase, NY · BC capacity

Sep 18, 1987 → May 16, 1990

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 1692489 ↗ FINRA BrokerCheck record for CRD 1692489 ↗ 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.