Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Finney has over 30 years of experience in the financial services industry. Thomas Finney has worked at Merrill Lynch, Pierce, Fenner & Smith Inc. since 2010, and previously worked at Wilmington Brokerage Services Company, SunTrust Securities, Inc., Crestar Securities Corporation, Alex. Brown & Sons Incorporated, First Maryland Brokerage Corporation and T. Rowe Price Investment Services, Inc. Thomas Finney holds the Series 7, Series 10, Series 24, Series 63 and Series 65 licenses. Thomas Finney is registered with FINRA and the state of Maryland, and is also registered as an Investment Advisor Representative (IAR) in Texas. Thomas Finney specializes in providing financial services to high net worth individuals, businesses, and charitable organizations. Thomas Finney is committed to helping clients achieve their financial goals.
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
MD
05/22/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HUNT VALLEY MD)
MD
02/08/2002 - 03/29/2010
WILMINGTON BROKERAGE SERVICES COMPANY (BALTIMORE MD)
GA
05/26/2000 - 01/28/2002
SUNTRUST SECURITIES, INC. (ATLANTA GA)
VA
10/27/1997 - 05/26/2000
CRESTAR SECURITIES CORPORATION (RICHMOND VA)
NA
06/27/1990 - 08/26/1991
ALEX. BROWN & SONS INCORPORATED
MD
02/07/1989 - 03/08/1990
FIRST MARYLAND BROKERAGE CORPORATION (BALTIMORE MD)
MD
02/26/1987 - 02/14/1989
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
IA
Issued 09/08/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/30/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1987
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
Not sure Thomas Finney is the right advisor for you? Invested Better is here to help.
