Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Alan Schmidt is a financial advisor with over 20 years of experience in the industry. Currently, Thomas is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has a proven track record of success in providing investment advice and financial planning services to individuals, corporations, and institutions. Thomas is a dedicated professional who is committed to helping clients achieve their financial goals.
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
RI
02/01/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PROVIDENCE RI)
RI
04/02/2007 - 06/19/2008
MORGAN STANLEY & CO. INCORPORATED (PROVIDENCE RI)
MA
04/16/2001 - 04/02/2007
MORGAN STANLEY DW INC. (BOSTON MA)
MA
10/15/1998 - 01/22/1999
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
BOTH
Issued 4/24/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/3/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 4/11/2001
Series 7 - General Securities Representative Examination
BC
Issued 10/8/1998
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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