Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Ambrose Thompson is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Seth has been in the securities industry for over 10 years and is registered in 52 states, with a current office location in Denver, CO. Seth specializes in working with insurance companies, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, corporations and other businesses, and individuals other than high-net-worth. Seth also provides financial and investment planning, portfolio management, 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
CO
07/11/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DENVER CO)
BOTH
Issued 05/14/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/01/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/16/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2013
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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