Thomas Michael Tansey

CRD 4053525 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Florham Park, NJ

IA RegisteredBroker

Also appears in the source record as: Thomas M Tansey; Tom M Tansey

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 24Series 65Series 63Series 66
Registered states (2): New Jersey · New York
Years in the industry (source record): 20
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
Florham Park, NJ · IA capacity

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

start not retrieved → present
Bny Mellon Securities Corporation
New York, NY · BC capacity

May 18, 2018 → Jun 17, 2024
Morgan Stanley
Ridgewood, NJ · BC capacity

Aug 18, 2010 → Sep 12, 2013
Wachovia Securities, LLC
Paramus, NJ · IA capacity

Oct 29, 2003 → May 30, 2007
Wachovia Securities, LLC
Paramus, NJ · BC capacity

Mar 11, 2002 → May 30, 2007
New England Securities
New York, NY · BC capacity

Oct 23, 2000 → May 18, 2001
Axa Advisors, LLC
New York, NY · BC capacity

Dec 16, 1999 → Sep 19, 2000
The Equitable Life Assurance Society Of The United States
New York, NY · BC capacity

Dec 16, 1999 → Jan 5, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4053525 ↗ FINRA BrokerCheck record for CRD 4053525 ↗ 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.

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