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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 Nelson is a financial advisor with over 30 years of experience in the industry. Thomas has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2009, and prior to that, was with UBS Financial Services Inc. for nearly 7 years. Thomas has a strong background in securities, futures, and commodities. His expertise extends to both individuals and institutions, providing a range of financial planning and investment management services. Thomas specializes in serving high-net-worth individuals and institutions, including corporations, pension and profit-sharing plans, and charitable organizations.
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
FL
02/19/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (VERO BEACH FL)
FL
08/19/2002 - 03/26/2009
UBS FINANCIAL SERVICES INC. (VERO BEACH FL)
NY
02/12/1990 - 08/23/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
04/11/1988 - 03/03/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
01/20/1988 - 04/11/1988
E. F. HUTTON & COMPANY INC
BOTH
Issued 03/25/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/11/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/27/1988
Series 3 - National Commodity Futures Examination
BC
Issued 01/16/1988
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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