Thomas T Kim

CRD 1770459 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Pennington, NJ

IA RegisteredBroker

Also appears in the source record as: Tai Gon Kim

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 66Series 65Series 63
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): 37
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
Pennington, NJ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Pennington, NJ · BC capacity

start not retrieved → present
Swiss American Securities Inc.
New York, NY · BC capacity

Nov 16, 2005 → Jul 11, 2006
Citicorp Investment Services
Long Island City, NY · BC capacity

Jun 15, 1999 → Nov 16, 2005
Waterhouse Securities, Inc.
Omaha, NE · BC capacity

Jun 15, 1998 → Feb 11, 1999
Washington Discount Brokerage Corp.
New York, NY · BC capacity

Sep 16, 1997 → Jun 15, 1998
Smith Barney Inc.
New York, NY · BC capacity

Jul 31, 1993 → Aug 1, 1996
Lehman Brothers Inc.
New York, NY · BC capacity

Sep 14, 1992 → Jul 31, 1993
The Prudential Insurance Company Of America
Newark, NJ · BC capacity

Sep 5, 1991 → Aug 14, 1992
Pruco Securities Corporation
Newark, NJ · BC capacity

Sep 5, 1991 → Aug 14, 1992
Advest, Inc.
Hartford, CT · BC capacity

Jun 20, 1990 → Aug 22, 1991
Gruntal & Co. Incorporated
New York, NY · BC capacity

Apr 28, 1989 → Jul 5, 1990
Berkeley Securities Corporation
BC capacity

May 6, 1988 → Mar 4, 1989
The Stuart-James Company, Inc.
BC capacity

Nov 25, 1987 → May 23, 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 1770459 ↗ FINRA BrokerCheck record for CRD 1770459 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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