{"hits":{"total":1,"hits":[{"_type":"_doc","_source":{"iacontent":"{\"basicInformation\": {\"individualId\": 2216678, \"firstName\": \"Thomas\", \"middleName\": \"J.\", \"lastName\": \"McBride\", \"otherNames\": [\"THOMAS J MCBRIDE\", \"THOMAS JAMES MCBRIDE\", \"Tommy  McBride\"], \"bcScope\": \"Active\", \"iaScope\": \"Active\", \"daysInIndustryCalculatedDateIAPD\": \"4/7/1992\"}, \"currentEmployments\": [{\"firmId\": 7691, \"firmName\": \"MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED\", \"iaOnly\": \"N\", \"registrationBeginDate\": \"4/8/1992\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"14235\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"7221\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"92624\", \"street1\": \"5910 N CENTRAL EXPY\", \"city\": \"DALLAS\", \"cityAlias\": [\"DALLAS\"], \"state\": \"TX\", \"country\": \"United States\", \"zipCode\": \"75206\", \"latitude\": \"32.833452\", \"longitude\": \"-96.771706\", \"geoLocation\": \"32.833452,-96.771706\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"02/03/1992\"}]}], \"currentIAEmployments\": [{\"firmId\": 7691, \"firmName\": \"MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"4/21/1992\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"14235\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"7221\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"92624\", \"street1\": \"5910 N CENTRAL EXPY\", \"city\": \"DALLAS\", \"cityAlias\": [\"DALLAS\"], \"state\": \"TX\", \"country\": \"United States\", \"zipCode\": \"75206\", \"latitude\": \"32.833452\", \"longitude\": \"-96.771706\", \"geoLocation\": \"32.833452,-96.771706\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"02/03/1992\"}]}], \"previousEmployments\": [], \"previousIAEmployments\": [], \"disclosureFlag\": \"Y\", \"iaDisclosureFlag\": \"Y\", \"disclosures\": [{\"eventDate\": \"10/3/2000\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Closed-No Action\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CUSTOMER ALLEGES THAT MR. MCBRIDE RECOMMENDED INVESTMENTS THAT WERE NOT SUITABLE FOR HER AGE AND HER NEEDS.\", \"Damage Amount Requested\": \"$15,000.00\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"THE ACCOUNT WAS INVESTED IN ACCORDANCE WITH THE CUSTOMER'S  OBJECTIVE OF INCOME. THE CLIENT WANTED AND AGREED TO ASSUME ADDITIONAL RISK FOR INCREASED INCOME. CLIENT RECEIVED SUBSTANTIAL INCOME FROM THE MUTUAL FUNDS DURING THIS TIME PERIOD. INCLUDING THIS INCOME WITH THE MUTUAL FUND PROCEEDS, THE CLIENT INCURRED A NET GAIN NOT A LOSS FROM THE SALE.\\r\\nMERRILL LYNCH HAS DENIED THIS CLAIM AND HAS HEARD NOTHING FURTHER FROM THE CUSTOMER ANS IS THEREFORE CLOSING ITS FILE.\"]}}], \"iaDisclosures\": [{\"disclosureType\": \"Customer Dispute\", \"disclosureCount\": 1}], \"examsCount\": {\"stateExamCount\": 2, \"principalExamCount\": 0, \"productExamCount\": 2}, \"stateExamCategory\": [{\"examCategory\": \"Series 65\", \"examName\": \"Uniform Investment Adviser Law Examination\", \"examTakenDate\": \"3/2/1994\", \"examScope\": \"IA\"}, {\"examCategory\": \"Series 63\", \"examName\": \"Uniform Securities Agent State Law Examination\", \"examTakenDate\": \"4/16/1992\", \"examScope\": \"BC\"}], \"principalExamCategory\": [], \"productExamCategory\": [{\"examCategory\": \"SIE\", \"examName\": \"Securities Industry Essentials Examination\", \"examTakenDate\": \"10/1/2018\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 7\", \"examName\": \"General Securities Representative Examination\", \"examTakenDate\": \"4/7/1992\", \"examScope\": \"BC\"}], \"registrationCount\": {\"hasInactiveRegistration\": \"N\", \"hasSuspendedRegistration\": \"N\", \"approvedSRORegistrationCount\": 6, \"approvedFinraRegistrationCount\": 1, \"approvedStateRegistrationCount\": 53, \"approvedIAStateRegistrationCount\": 1}, \"registeredStates\": [{\"state\": \"Alabama\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/16/2004\"}, {\"state\": \"Alaska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/2012\"}, {\"state\": \"Arizona\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/6/1999\"}, {\"state\": \"Arkansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/16/2004\"}, {\"state\": \"California\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/25/1994\"}, {\"state\": \"Colorado\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/15/1993\"}, {\"state\": \"Connecticut\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/14/1997\"}, {\"state\": \"Delaware\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/31/2010\"}, {\"state\": \"District of Columbia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/1/1997\"}, {\"state\": \"Florida\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/7/1992\"}, {\"state\": \"Georgia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/26/1994\"}, {\"state\": \"Hawaii\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/16/2004\"}, {\"state\": \"Idaho\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/16/2004\"}, {\"state\": \"Illinois\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/1/1992\"}, {\"state\": \"Indiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/29/1998\"}, {\"state\": \"Iowa\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/2012\"}, {\"state\": \"Kansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/16/2004\"}, {\"state\": \"Kentucky\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/16/2004\"}, {\"state\": \"Louisiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/8/1999\"}, {\"state\": \"Maine\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/2012\"}, {\"state\": \"Maryland\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/10/1999\"}, {\"state\": \"Massachusetts\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/27/1997\"}, {\"state\": \"Michigan\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/16/2004\"}, {\"state\": \"Minnesota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/18/2001\"}, {\"state\": \"Mississippi\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/16/2004\"}, {\"state\": \"Missouri\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/12/2004\"}, {\"state\": \"Montana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/1/2000\"}, {\"state\": \"Nebraska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/2012\"}, {\"state\": \"Nevada\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/7/1999\"}, {\"state\": \"New Hampshire\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/2012\"}, {\"state\": \"New Jersey\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/17/1993\"}, {\"state\": \"New Mexico\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/11/2004\"}, {\"state\": \"New York\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/1995\"}, {\"state\": \"North Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/2/1992\"}, {\"state\": \"North Dakota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/2012\"}, {\"state\": \"Ohio\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/19/2004\"}, {\"state\": \"Oklahoma\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/24/1994\"}, {\"state\": \"Oregon\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/16/2000\"}, {\"state\": \"Pennsylvania\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/27/1997\"}, {\"state\": \"Puerto Rico\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/19/2025\"}, {\"state\": \"Rhode Island\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/2012\"}, {\"state\": \"South Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/10/1995\"}, {\"state\": \"South Dakota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/3/2012\"}, {\"state\": \"Tennessee\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/11/2003\"}, {\"state\": \"Texas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/21/1992\"}, {\"state\": \"Texas\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"4/21/1992\"}, {\"state\": \"Utah\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/16/2004\"}, {\"state\": \"Vermont\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/22/2000\"}, {\"state\": \"Virgin Islands\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/19/2025\"}, {\"state\": \"Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/2/1992\"}, {\"state\": \"Washington\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/9/1999\"}, {\"state\": \"West Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/22/2004\"}, {\"state\": \"Wisconsin\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/19/2004\"}, {\"state\": \"Wyoming\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/16/2004\"}], \"registeredSROs\": [{\"sro\": \"Cboe BYX Exchange, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"Cboe BZX Exchange, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"Cboe Exchange, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"FINRA\", \"status\": \"APPROVED\", \"CategoriesList\": [\"Full Registration/General Securities Representative\"]}, {\"sro\": \"Nasdaq Stock Market\", \"status\": \"APPROVED\"}, {\"sro\": \"New York Stock Exchange\", \"status\": \"APPROVED\"}], \"brokerDetails\": {\"hasBCComments\": \"N\", \"hasIAComments\": \"N\", \"legacyReportStatusDescription\": \"Not Requested\"}}"}}]}}