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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas A. Luptowski is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas A. Luptowski has been working in the financial industry since November 2005. Thomas A. Luptowski is currently licensed in 31 states, including Alabama, Arizona, California, and Colorado. Thomas A. Luptowski has a series of certifications, including Series 66, Series 7 and SIE, and specializes in providing services to insurance companies, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth. Thomas A. Luptowski can provide financial planning services for individuals and businesses. Thomas A. Luptowski is also licensed to provide pension consulting services 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
GA
01/11/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ALPHARETTA GA)
BOTH
Issued 12/08/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2005
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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