Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Auchincloss Armitage is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has been in the securities industry since May 3, 1995. Thomas has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since March 2002. Previously, Thomas was a registered representative with J.P. MORGAN SECURITIES INC., HAMBRECHT & QUIST LLC, SG COWEN SECURITIES CORPORATION and COWEN & CO. Thomas's current registrations include: Series 63, Series 65 and Series 7. Thomas is currently licensed in the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin and Wyoming. Thomas holds a current Series 7 license, Series 63 license and a Series 65 license.
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
NJ
03/12/2002 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Highlands NJ)
NY
02/01/2000 - 04/03/2002
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CA
12/21/1998 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
07/01/1998 - 01/04/1999
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
07/11/1996 - 07/01/1998
COWEN & CO. (NEW YORK NY)
NY
04/21/1995 - 06/27/1996
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 05/06/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/1995
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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