Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Frederick Holl is a financial professional with over 20 years of experience in the industry. Thomas has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2019. Before that, Thomas was registered with RBC Capital Markets, LLC from 2010 to 2019. Previously, Thomas held positions with J.P. Morgan Securities Inc. and Brown Brothers Harriman & Co. Thomas holds FINRA Series 7, 9, 10, 24, 63, and 66 securities licenses. Thomas is currently registered in 56 states and the District of Columbia. Thomas is a registered representative and investment advisor representative.
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
WA
11/20/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SEATTLE WA)
WA
06/14/2010 - 10/09/2019
RBC CAPITAL MARKETS, LLC (SEATTLE WA)
NY
09/28/2005 - 06/21/2010
J.P. MORGAN SECURITIES INC. (BROOKLYN NY)
NY
09/28/2005 - 12/31/2008
J.P. MORGAN CLEARING CORP. (BROOKLYN NY)
NY
10/01/2000 - 05/20/2005
BROWN BROTHERS HARRIMAN & CO. (NEW YORK NY)
BOTH
Issued 11/20/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/27/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/28/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/17/2014
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2000
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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