TV
Thomas K. Vandell
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CRD#: 1237661
TV
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Kimberly Vandell, who also goes by Tom Vandell, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Vandell
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I*133751
For-Profit Organization
Name: Xpress Technical Services
Investment related: Y
Address of business:
Oakdale, California 95361
Start: 2/1/2017
Hours: 40/month, trading hours 0
Duties: This is a sub-chapter "S" Corp; identical in structure to the existing Xpress Auto Services.
I*133474
For profit or not for profit: For-Profit Organization
Name: IED; Industrial Electrical Contracting
Investment related: N
Address of business:
Sacramento, California 95826
Nature of business: S-Corp.
Position
Start date: 3/1/2020
Hours: 20 hour(s) Monthly
trading hours: 0
Duties: IEC is a commercial electrical contractor; existing and target clients are fueling stations (ga
I*69993
For-Profit Organization
Clean Car Inc.
Investment related: N
Sonora, California 95370
Corporation,
Owner,
10/5/2005
trading hours: 0
Automotive services: we operate a single carwash at this address. I am a co-owner (own half the stock in Clear Car) and carry the title of Corp Secretary. I have no day-to-day involvement
I*69996
For-Profit Organization
Xpress Auto Services
Investment related: N
Standard, California 95373
Corporation,
Officer,
10/5/2005
Number of hours devoted: 10 hour(s) Quarterly
Number of hours devoted during trading hours: 0
Corporate Umbrella for three related automobile service businesses located in Sonora, CA., Jackson CA., and Sacramento, CA
I*71872
For-Profit Organization
Name: Y and Vandell Tenants in common
Investment related: N
Address of business:
Sonora, California 95370
Nature of business: General Partnership,
Position: General Partner,
Start date: 10/5/2005
Number of hours devoted: 0 hour(s) Annually
Number of hours devoted during trading hours: 0
Duties: Single purpose commercail real estate
I*71875
For-Profit Organization
Name of outside business organization: Y and Vandell Tenants in-common
Investment related: N
Address of business:
Sonora, California 95370
Nature of business: General Partnership,
Position: General Partner,
Start date: 10/5/2005
Number of hours devoted: 0 hour(s) Annually
Number of hours devoted during trading hours: 0
Duties: Two buildings on a single parcel; one houses a car wash and the other a single bay quick lube
I*107437
For-Profit Organization
Rancho Murieta Country Club
Investment related: N
Rancho Murieta, California 95683
Corporation,
Committee Member,
7/24/2017
Number of hours devoted: 3 hour(s) Monthly
Number of hours devoted during trading hours: 0
The Rancho Murieta Country Club (RMCC) is governed by an elected Board of Directors. The RMCC Finance Committee is a) a volunteer position, b) approved and appointed by the RMCC Board of Directors, c) has no financial authority
I*114457
For-Profit Organization
Car Wash Technology
Investment related: Y
Oakdale, California 95361
S-Corp,
Officer,
9/1/2016
Number of hours: 20 hour(s) Monthly
trading hours: 0
CWT (Car Wash Technology is a dba. The company was acquired under our umbrella firm Xpress auto Services - who owned Jackson Lube and Wash and the Big O Tires Franchise. Xpress currently owns Sonora Express Lube and Wash and CWT)
I*10049
For profit or not for profit:
Name: Vandell / York Tenants-in-common
Investment related:
Address of business:
Jackson, California 95642
Nature of business:
Position, title, association: ,
Start date of relationship: 8/1/2020
Number of hours devoted & trading hours: 0 hour(s)
I*10048
For profit or not for profit:
Name: Vandell / York Tenants-in-common
Investment related:
Address of business:
Sacramento, California 95826
Nature of business: ,
Position, title, association: ,
Start date of relationship: 6/10/2020
Number of hours devoted: 5 hour(s)
trading hours: 0
Duties:
I*8007
For profit
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 31, 2014 - January 5, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SACRAMENTO, CA
Past
January 31, 2014 - January 5, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SACRAMENTO, CA
Past
January 3, 2011 - February 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
EL DORADO HILLS, CA
Past
January 3, 2011 - February 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
EL DORADO HILLS, CA
Past
June 26, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SACRAMENTO, CA
Past
June 26, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SACRAMENTO, CA
Past
September 16, 1997 - June 28, 2006
PIPER SANDLER & CO.
RIA
CRD#: 665
SACRAMENTO, CA
Past
September 30, 1996 - June 28, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
SACRAMENTO, CA
Past
April 27, 1990 - October 4, 1996
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
June 6, 1989 - May 16, 1990
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 24, 1984 - June 26, 1989
M.L. STERN & CO., LLC.
BD
CRD#: 8327
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
