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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

Thomas James Koppinger

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ca3f9b3-4f48-7f44-c1f0-ac07c37bd0fc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 30, 1998 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 8, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Feb 8, 1991
First registration: Mar 30, 1998
Dual registered: yes, broker-dealer
Other names: THOMAS JAMES KOPPINGER|THOMAS J KOPPINGER|Thomas Koppinger
IAPD individual key: 1625342

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 6, 2020	n/a	yes	DALLAS, TX\|SPRINGFIELD, MO\|COLUMBIA, MO\|KANSAS CITY, MO\|LEAWOOD, KS\|Kansas City, MO	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 21, 2010	Apr 2, 2014	no	New York, NY\|Long Island City, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 23, 2009	no	PURCHASE, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 30, 1998	Jun 1, 2009	no	NEW YORK, NY\|STAMFORD, CT\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 2, 2014	Jan 6, 2020	2,105	Firm change after gap	Other
MORGAN STANLEY	CITIGROUP GLOBAL MARKETS INC.	Jul 23, 2009	Sep 21, 2010	425	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jan 6, 2020 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 21, 2010 to Apr 2, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 23, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ca3f9b3-4f48-7f44-c1f0-ac07c37bd0fc
First observed: Mar 30, 1998
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Thomas James Koppinger

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ca3f9b3-4f48-7f44-c1f0-ac07c37bd0fc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:30 PM UTC and rebuilt at most every 15 minutes.