Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Depont is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in Vienna, Virginia. Thomas has been a financial advisor since 2000 and has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2000. Thomas is registered in several states including Virginia, Maryland, Texas, and District of Columbia. Thomas has passed several exams including the Series 66, Series 10, Series 9, Series 31 and Series 7. Thomas specializes in several areas including individual investors, businesses, investment companies, pension and profit sharing plans, corporations and charitable organizations. Thomas Depont is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been serving clients since 2000.
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
VA
06/22/2000 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (VIENNA VA)
BOTH
Issued 06/09/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/18/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/11/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/01/2000
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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