Thomas Eugene Lumbard
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
14 yearsExperience
1 stateRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
14 years in the industry.
- Bank of America, N.A.Dec 2022 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2022 to now
- Marty Bs LLCJun 2022 to Jun 2022
- Nylife Securities LLCJun 2021 to Jul 2022
- New York Life Insurance CompanyFeb 2021 to Jul 2022
- UnemployedOct 2020 to Feb 2021
- PepsicoJul 2018 to Oct 2020
- UnemployedMay 2018 to Jun 2018
- Pepsi Cola Ogdensburg BottlersJun 2015 to Aug 2017
- Suny CortlandAug 2014 to May 2018
- Shoulettes Redemption DepotJan 2012 to Dec 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2022
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 1 state (TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7327900
- Firm CRD
- 7691