Michael James Tumolo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (9)

Series 66Series 24Series 10Series 9Series 99TOSIESeries 3Series 31Series 7

Registered states (2)

Florida · Texas

Years in the industry (source record)

24

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (18)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Jacksonville, FL · IA capacity
  Jun 2, 2017 → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  New York, NY · BC capacity
  start not retrieved → present
• Morgan Stanley

  IA capacity
  May 27, 2016 → May 23, 2017
• Morgan Stanley

  BD capacity
  May 16, 2016 → May 23, 2017
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  IA capacity
  May 28, 2015 → May 12, 2016
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  BD capacity
  May 26, 2015 → May 12, 2016
• Morgan Stanley

  BD capacity
  Sep 29, 2014 → May 26, 2015
• Morgan Stanley

  IA capacity
  Sep 29, 2014 → May 26, 2015
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  BD capacity
  Aug 19, 2010 → Sep 18, 2014
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  IA capacity
  Aug 19, 2010 → Sep 18, 2014
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  IA capacity
  Jan 30, 2007 → Nov 18, 2009
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  BD capacity
  Jan 29, 2007 → Nov 18, 2009
• Ids Life Insurance Company

  BD capacity
  Jul 6, 2005 → Jul 6, 2006
• Ameriprise Financial Services, Inc.

  BD capacity
  Jul 6, 2005 → Jul 6, 2006
• Morgan Stanley

  IA capacity
  Apr 27, 2005 → Jun 10, 2005
• Morgan Stanley Dw Inc.

  BD capacity
  Apr 25, 2005 → Jun 10, 2005
• Edward Jones

  BD capacity
  Sep 27, 2004 → Apr 26, 2005
• Morgan Stanley Dw Inc.

  BD capacity
  May 1, 2002 → Aug 17, 2004

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.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.