Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Worden is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., located in Pittsford, NY. Thomas has over 20 years of experience in the financial services industry. Thomas holds Series 3, 7, 31, 63, 65, and 66 licenses. Thomas has previously worked with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Deutsche Morgan Grenfell Inc. and Prudential Securities Incorporated.
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
NY
08/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PITTSFORD NY)
NY
06/01/2009 - 08/16/2012
MORGAN STANLEY SMITH BARNEY (ROCHESTER NY)
NY
05/04/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ROCHESTER NY)
NY
06/09/2003 - 05/09/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PITTSFORD NY)
NY
07/02/1996 - 05/05/1998
DEUTSCHE MORGAN GRENFELL INC. (NEW YORK NY)
NY
04/19/1995 - 09/20/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 04/19/2004
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/01/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/21/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 06/06/2003
Series 7 - General Securities Representative Examination
BC
Issued 05/05/1995
Series 3 - National Commodity Futures 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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