Tinu Thompson

CRD 4815077 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Wayne, NJ

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 63Series 10Series 9Series 31SIESeries 7Series 6
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): 22
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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Palatine, IL · IA capacity

Jan 18, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Wayne, NJ · BC capacity

start not retrieved → present
Pnc Investments
BD capacity

Jun 18, 2015 → Sep 29, 2015
Pnc Investments
BD capacity

Oct 2, 2012 → Sep 30, 2014
Citigroup Global Markets Inc.
BD capacity

May 29, 2007 → Sep 24, 2012
Citicorp Investment Services
BD capacity

Oct 30, 2006 → May 29, 2007
J.P. Morgan Securities Inc.
BD capacity

Jul 1, 2006 → Oct 5, 2006
Chase Investment Services Corp.
BD capacity

Jul 6, 2005 → Oct 2, 2006
Banc One Securities Corporation
BD capacity

Sep 12, 2005 → Jul 1, 2006
Banc One Securities Corporation
BD capacity

Aug 5, 2004 → Jul 6, 2005

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 4815077 ↗ FINRA BrokerCheck record for CRD 4815077 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. 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.