Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Christophe Prentice is a financial advisor with over 40 years of experience in the industry. Prentice is currently registered with RBC Capital Markets, LLC, where he provides financial planning and investment management services to individuals, families, and businesses. Prentice is a licensed broker-dealer and investment advisor representative. He holds a Series 7, 8, 9, 10, 31, 63, and 65 licenses. Prentice also holds the Securities Industry Essentials Examination (SIE). Prior to joining RBC Capital Markets, LLC, Prentice was with Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
CA
01/06/2016 - Present
RBC Capital Markets, LLC (PALM DESERT CA)
CA
04/29/1980 - 01/07/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIAN WELLS CA)
NA
01/31/1980 - 03/28/1980
PAINE, WEBBER, JACKSON & CURTIS INC.
NA
12/04/1979 - 01/31/1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
IA
Issued 09/26/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/05/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/29/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 11/17/1979
Series 7 - General Securities 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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