Thomas Gross

CRD 2276186 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Pepper Pike, OH

IA RegisteredBroker

Also appears in the source record as: Thomas Joseph Gross; Thomas J Gross

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 7Series 9Series 10Series 24Series 8Series 65Series 63
Registered states (1): Ohio
Years in the industry (source record): 29
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2276186 contains one or more disclosure events as of Aug 20, 2026.

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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
Pepper Pike, OH · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Pepper Pike, OH · BC capacity

start not retrieved → present
Rbc Capital Markets, LLC
Cleveland, OH · IA capacity

Jan 3, 2019 → Feb 26, 2019
Rbc Capital Markets, LLC
Cleveland, OH · BC capacity

Jan 3, 2019 → Feb 26, 2019
Td Ameritrade, Inc.
Mentor, OH · BC capacity

Feb 26, 2018 → Apr 2, 2018
Scottrade Investment Management
Saint Louis, MO · IA capacity

Dec 23, 2016 → Apr 2, 2018
Scottrade, Inc.
Mentor, OH · BC capacity

Sep 10, 2012 → Feb 26, 2018
Ameriprise Financial Services, Inc.
Beachwood, OH · IA capacity

Oct 5, 2009 → Jan 13, 2012
Ameriprise Financial Services, Inc.
Beachwood, OH · BC capacity

Oct 5, 2009 → Jan 13, 2012
Ameriprise Advisor Services, Inc.
Mayfield, OH · IA capacity

Nov 9, 2006 → Oct 5, 2009
Ameriprise Advisor Services, Inc.
Mayfield, OH · BC capacity

Nov 6, 2006 → Oct 5, 2009
Td Waterhouse Investor Services, Inc.
Woodmere, OH · IA capacity

Apr 30, 2003 → Jul 27, 2005
First Union Securities Financial Network, Inc.
St. Louis, MO · BC capacity

Jan 8, 2001 → Jan 31, 2002

Source & corrections

Where this page comes from

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