Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Tompkins is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a large firm with $10 billion to $50 billion in assets under management. Mary has been in the industry since 1999 and holds both Series 65 and Series 63 licenses. She also has experience working with clients at Morgan Stanley and Citigroup Global Markets Inc. Mary has an active registration in 31 states and is approved to provide financial advice in various areas, including retirement planning, investment management, and wealth management.
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
07/12/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WHITE PLAINS NY)
NY
06/01/2009 - 07/24/2013
MORGAN STANLEY (MOUNT KISCO NY)
NY
09/30/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MOUNT KISCO NY)
IA
Issued 03/10/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/24/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 09/27/1999
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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