Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Demarois is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has been working in the financial services industry since August 1989 and has a current active registration with both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Thomas also holds active registrations with the states of Alabama, Arizona, California, Colorado, Georgia, Idaho, Illinois, Indiana, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Montana, Nevada, New York, North Carolina, Oregon, South Carolina, Texas, Virginia, Washington and Wisconsin. Prior to joining Merrill Lynch, Thomas was registered with Essex National Securities, Inc., First Interstate Investments,Inc., FN Investment Center, GNA Securities, Inc., Emmett A Larkin Company, Inc., and Capital Planning Group, 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
CA
07/20/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SACRAMENTO CA)
CA
03/28/1995 - 10/02/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NA
04/13/1994 - 09/28/1995
FIRST INTERSTATE INVESTMENTS,INC.
CA
04/15/1988 - 12/02/1991
FN INVESTMENT CENTER (SACRAMENTO CA)
NA
10/29/1987 - 04/20/1988
GNA SECURITIES, INC.
NA
10/27/1986 - 07/21/1987
EMMETT A LARKIN COMPANY, INC.
NA
07/23/1986 - 10/27/1986
CAPITAL PLANNING GROUP, INC.
BOTH
Issued 09/16/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/18/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/23/1988
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1986
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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