Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Ballard is a financial professional with over 30 years of experience in the industry. Thomas is currently registered with Bofa Securities, Inc. in Atlanta, Georgia. Thomas's career spans multiple firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Columbia Management Distributors, Inc., GPC Securities, Inc., Fidelity Brokerage Services, Inc., Fidelity Investments Institutional Services Company, Inc. and National Financial Services Corporation. Thomas holds a variety of licenses and registrations including Series 6, 7, 10, 24, 63, and 66. Thomas specializes in providing research-related services to clients.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
GA
05/10/2019 - Present
Bofa Securities, Inc. (ATLANTA GA)
NY
09/22/2009 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
GA
04/15/2008 - 09/28/2009
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (ATLANTA GA)
GA
04/26/2000 - 02/26/2008
GPC SECURITIES, INC. (ATLANTA GA)
RI
10/18/1999 - 03/08/2000
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
RI
06/24/1994 - 03/08/2000
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
MA
06/07/1999 - 09/01/1999
NATIONAL FINANCIAL SERVICES CORPORATION (BOSTON MA)
RI
09/01/1993 - 06/22/1994
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BOTH
Issued 12/30/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/30/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/1994
Series 7 - General Securities Representative Examination
BC
Issued 08/31/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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