Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you C? Claim Your ProfileC Thames is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc.. C Thames has been in the industry since 1987 and holds several licenses, including the Series 63, 65, 7, 8, 9 and 10. C Thames has experience in providing investment advice for individuals, businesses, charitable organizations, insurance companies, pension and profit sharing plans, high-net-worth individuals and state or municipal government entities. C Thames specializes in providing investment management, financial planning and portfolio management services. C Thames is a registered representative in several states, including Texas, New York, New Jersey, Florida, and others.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
03/25/1987 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
IA
Issued 01/16/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/10/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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