Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas George Raymond is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Thomas has been in the financial services industry for over 23 years and has a broad range of experience in the industry. He is registered in several states including Connecticut, Texas, California, Colorado, Florida, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Vermont, and Virginia. He holds various licenses including Series 7, Series 31, Series 65, and Series 66, allowing him to advise clients on a variety of financial products and services. Thomas is affiliated with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm that provides financial advisory services to individuals, corporations, and institutions. The firm has a strong track record of providing investment advice and managing assets for clients of all sizes.
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
CT
02/16/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREENWICH CT)
NY
10/08/1999 - 05/16/2001
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
IA
Issued 03/09/2005
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/15/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/07/1999
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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