Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Eugene Walters is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pennington, New Jersey. Thomas has been in the securities industry since 2003. Thomas has also previously worked at Bank of America Investment Services, Inc., Quick & Reilly, Inc., Wachovia Securities, LLC, and Morgan Stanley DW Inc. Thomas has passed several securities exams, including Series 7, Series 31, Series 9, Series 10, Series 24, and Series 66. Thomas also holds a Series SIE.
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
NJ
01/26/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
MA
10/20/2004 - 08/08/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
10/15/2004 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
MO
03/14/2003 - 10/05/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
05/30/2001 - 12/10/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 6/22/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/23/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 9/29/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 3/19/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/26/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 5/29/2001
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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