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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 D Thalman is a financial advisor who has been in the industry since 1987. Thomas is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has previously worked with Scott & Stringfellow, Inc., Interstate Securities Corporation, and Alex. Brown & Sons Incorporated. Thomas has a total of 24 approved state registrations and 7 approved SRO registrations. Thomas is a Series 66, 63, 24, 7 and SIE licensed advisor and holds registrations in Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Illinois, Maine, Maryland, Michigan, Minnesota, Missouri, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and Washington. Thomas is licensed to provide advisory services in the areas of pension consulting, financial planning, educational seminars, portfolio management for individuals and businesses, selection of other advisors, and portfolio management for investment companies. Thomas may also provide performance measurement reports, allocation modeling, IPS, research reports and services.
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
NC
10/08/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
VA
07/29/1988 - 06/04/2001
SCOTT & STRINGFELLOW, INC. (RICHMOND VA)
NA
01/01/1988 - 05/17/1988
INTERSTATE SECURITIES CORPORATION
NA
10/22/1986 - 11/16/1987
ALEX. BROWN & SONS INCORPORATED
BOTH
Issued 03/11/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/05/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/1991
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1986
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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