Thomas J Rollando

Thomas J Rollando is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 660 BEACHLAND BLVD, VERO BEACH, FL, 32963.

Thomas J Rollando has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since January 13, 2009

Disclosure History

Thomas J Rollando has 1 Disclosure Event(s).

Date: November 10, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $141,946.47
Judgment/Lien Type: Civil

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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