Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Edward Smith is a financial professional with over 30 years of experience in the financial services industry. Thomas has been registered with HSBC Securities (USA) Inc. since July 2006 and has held previous positions at Deutsche Bank Securities Inc., Carr Futures Inc. and Dean Witter Reynolds Inc. Thomas holds several licenses and certifications including the Series 4, Series 7, Series 63 and Series 57TO. Thomas specializes in providing asset allocation recommendations and selecting third-party advisors to manage client assets.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
IL
07/10/2006 - Present
Hsbc Securities (usa) Inc. (Chicago IL)
NY
11/07/2000 - 06/21/2006
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
IL
08/01/1997 - 10/06/1999
CARR FUTURES INC. (CHICAGO IL)
NY
10/23/1992 - 08/01/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 03/08/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2010
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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