Unclaimed
Marc Andrew Thomas is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Marc has been in the industry since 1997 and has a broad range of experience in providing investment advice to individuals, corporations, and institutions. Marc has a strong understanding of the financial markets and is committed to providing his clients with personalized investment solutions.
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
CA
08/07/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CT
05/28/2002 - 10/14/2003
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
TX
07/13/1999 - 06/18/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NJ
06/24/1999 - 07/08/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
TX
03/14/1997 - 05/14/1999
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BC
Issued 06/09/2017
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/27/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2017
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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