Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas F Fullman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has been working in the financial industry since 2007, previously working at Purshe Kaplan Sterling Investments and Prudential Annuities Distributors, Inc. Thomas is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) as a registered representative and an investment advisor. He offers a variety of services to clients, including portfolio management, financial planning, and educational seminars. Thomas has specialized in serving High Net Worth Individuals, corporations, and pension plans.
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
VA
09/07/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTESVILLE VA)
CT
01/21/2013 - 07/24/2013
PURSHE KAPLAN STERLING INVESTMENTS (SOUTHPORT CT)
CT
07/24/2007 - 02/10/2011
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (SHELTON CT)
IA
Issued 12/06/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/2013
Series 7 - General Securities Representative Examination
BC
Issued 07/23/2007
Series 6 - Investment Company Products/Variable Contracts 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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