Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Christopher Thomas is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm with over $1 trillion in assets under management. He is also registered with the states of Wisconsin and Texas. Joshua has been in the financial industry since 2007 and has experience working with a variety of clients, including individuals, businesses, and institutions.
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
WI
10/25/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WAUKESHA WI)
WI
10/06/2020 - 11/19/2021
CHARLES SCHWAB & CO., INC. (Brookfield WI)
FL
04/14/2014 - 06/23/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JACKSONVILLE FL)
TX
04/07/2011 - 04/01/2014
AMERIPRISE FINANCIAL SERVICES, INC. (PLANO TX)
TX
10/26/2010 - 01/28/2011
SOUTHWEST SECURITIES, INC. (PLANO TX)
TX
06/01/2009 - 11/19/2010
MORGAN STANLEY SMITH BARNEY (DALLAS TX)
WA
05/31/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (FEDERAL WAY WA)
IA
Issued 11/21/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/22/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/04/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2007
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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