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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Ray Thach is a financial advisor with over 20 years of experience in the industry. Douglas has worked for several prominent firms, including Citigroup Investment Services, Salomon Smith Barney Inc., and Bank of America Investment Services, Inc. Currently, Douglas is registered as a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Inc., serving clients in Connecticut, New Jersey, and New York. Douglas specializes in providing portfolio management for individuals and businesses, pension consulting, and educational seminars.
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
NY
04/19/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MELVILLE NY)
NY
07/17/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (NEW YORK NY)
NY
07/29/1999 - 07/24/2006
CITICORP INVESTMENT SERVICES (NEW YORK NY)
NY
12/18/1998 - 07/23/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
07/29/1997 - 12/18/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
IA
Issued 09/11/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/13/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/1997
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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