Thomas Cook, financial advisor Short Hills NJ
73 score

Thomas Cook

CRD Number: 1972517
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Thomas Cook (CRD# 1972517) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Short Hills, NJ and has over 26 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Short Hills, NJ Dec 2014 - Current 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated Short Hills, NJ Jan 2014 - Current 2
Unemployed Short Hills, NJ Jul 2013 - Jan 2014 < 1
Dru Stock New York, NY Feb 2013 - Jul 2013 < 1
Unemployed Short Hills, NJ May 2012 - Feb 2013 < 1
Bley Investment Group, Inc. Fort Worth, TX Feb 2011 - May 2012 1
Unemployed Short Hills, NJ Dec 2010 - Feb 2011 < 1
Oppenheimer & Co Hong Kong, May 2009 - Nov 2010 1
Louis Capital Hong Kong, Jan 2009 - May 2009 < 1
Pali International Singapore, Jan 2008 - Jan 2009 1
Dru Stock New York, NY Aug 2007 - Jan 2008 < 1
Labranche New York, NY Aug 2005 - Aug 2007 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2014
S63 Uniform Securities State Law Examination Mar 1990
Contact Info for Thomas C. Cook
Phone Number: 800-637-7455
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
73
Clean Record
This advisor has a clean track record with regulators.

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