Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Brophy is a financial advisor with over 30 years of experience in the industry. Thomas is registered with Maryland Financial Group, Inc. and has been working with the firm since 2014. Prior to joining the firm, Thomas was registered with FSC Securities Corporation from 2011 to 2014 and Scott & Stringfellow, LLC from 2001 to 2011, among other firms. Thomas specializes in providing financial planning and portfolio management services to a wide range of clients, including individuals, businesses, and charitable organizations. Thomas holds a Series 7, 63, and 65 licenses, along with the SIE designation.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
SC
04/21/2014 - Present
Maryland Financial Group, Inc. (MT. PLEASANT SC)
SC
01/31/2011 - 04/02/2014
FSC SECURITIES CORPORATION (MT. PLEASANT SC)
SC
08/15/2001 - 02/08/2011
SCOTT & STRINGFELLOW, LLC (MT. PLEASANT SC)
TX
10/27/1998 - 09/13/2001
PRESIDENTIAL BROKERAGE, INC. (AUSTIN TX)
CA
10/25/1997 - 09/18/1998
WALDRON & CO., INC. (IRVINE CA)
NY
11/20/1995 - 09/18/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
12/14/1989 - 12/06/1995
J.C. BRADFORD & CO. (NEW YORK NY)
NC
10/14/1988 - 12/19/1989
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
NA
08/12/1988 - 10/14/1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
NA
01/21/1987 - 11/18/1987
THE STUART-JAMES COMPANY, INC.
IA
Issued 07/19/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/29/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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