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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 Eugene Smith is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in FAIRHOPE, AL. Thomas has been in the financial services industry since 2004 and has a proven track record of providing financial guidance to a diverse range of clients. Thomas has extensive experience in portfolio management, investment advisory services, and retirement planning. Previously, Thomas has been affiliated with several other firms including CETERA INVESTMENT SERVICES LLC, PNC INVESTMENTS, HANCOCK INVESTMENT SERVICES, INC., PRIMEVEST FINANCIAL SERVICES, INC., and 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.
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
AL
11/26/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FAIRHOPE AL)
AL
08/27/2015 - 03/19/2018
CETERA INVESTMENT SERVICES LLC (DAPHNE AL)
AL
01/14/2014 - 08/21/2015
PNC INVESTMENTS (SPANISH FORT AL)
FL
02/08/2012 - 01/24/2014
HANCOCK INVESTMENT SERVICES, INC. (PENSACOLA FL)
FL
05/19/2009 - 02/13/2012
PRIMEVEST FINANCIAL SERVICES, INC. (PENSACOLA FL)
AL
10/22/2004 - 05/12/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FAIRHOPE AL)
BOTH
Issued 11/19/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2004
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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