Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Fasth is a financial advisor with over 27 years of experience. Thomas is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has previously been employed at Vanguard Marketing Corporation, MetLife Securities Inc., Banc of America Securities LLC, BancAmerica Securities, Inc., and BA Investment Services, Inc. Thomas holds Series 7, 63, 65, and 66 licenses. Thomas is also registered to provide investment advice in 53 states and the District of Columbia.
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
03/07/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
03/21/2014 - 10/14/2022
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
NC
06/25/2009 - 12/23/2013
METLIFE SECURITIES INC. (CHARLOTTE NC)
NC
10/01/1998 - 11/30/2007
BANC OF AMERICA SECURITIES LLC (CHARLOTTE NC)
CA
10/01/1993 - 10/01/1998
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
CA
04/21/1993 - 10/01/1993
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BOTH
Issued 03/02/2020
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/20/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1993
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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