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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid K. Thomas is a financial advisor in Charlotte, NC. David Thomas has over 10 years of experience in the industry, having worked at Merrill Lynch, Pierce, Fenner & Smith Inc. since 2009. David Thomas is a registered representative and investment advisor representative and holds Series 7, 24, and 66 licenses. In addition to his financial advising work, David Thomas also owns Thomas Relaxation Sanctuary LLC, a tax preparation business. David Thomas provides financial planning, portfolio management, and investment consulting services to individuals, corporations, businesses, and charitable organizations.
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
NC
04/22/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
BOTH
Issued 11/04/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/22/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2010
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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