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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 Cleary is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., serving clients in California and Texas. Thomas Cleary has over 13 years of experience in the financial services industry. Thomas Cleary has passed the Series 7, 9, 10, 24, 65 and 66 exams. Thomas Cleary is also registered with the state of California as both a broker-dealer and investment advisor representative. Thomas Cleary specializes in providing financial services to high net worth individuals, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans. Thomas Cleary has worked at Ameriprise Financial Services, Inc. prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc..
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
NY
10/24/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
CA
04/20/2007 - 10/12/2009
AMERIPRISE FINANCIAL SERVICES, INC. (WALNUT CREEK CA)
CA
05/19/2006 - 02/21/2007
AMERIPRISE FINANCIAL SERVICES, INC. (ROSEVILLE CA)
IA
Issued 11/17/2011
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/13/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/05/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/11/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/18/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/2006
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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