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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Alexander Thompson is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Seth has been in the securities industry for over 10 years and has experience providing investment advisory services to individuals, corporations, and charitable organizations. Seth holds the Series 6, 7TO, 63, and 65 licenses and the SIE certification. Seth specializes in providing financial planning, portfolio management, and investment advisory services.
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
MA
12/17/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FRAMINGHAM MA)
MA
07/26/2017 - 12/20/2017
PURSHE KAPLAN STERLING INVESTMENTS (Boston MA)
IA
Issued 08/30/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/05/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/26/2019
Series 7TO - General Securities Representative Examination
BC
Issued 12/20/2017
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2017
Series 6 - Investment Company Products/Variable Contracts 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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