Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Wall has been in the financial services industry since January 21, 1986. He is currently registered with Raymond James & Associates, Inc., where he has been employed since February 2012. Previously, Thomas Wall worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated from January 22, 1986 until February 21, 2012. Thomas Wall holds multiple securities licenses and licenses to provide investment advice in multiple states. He is a licensed investment advisor in Kentucky and Texas. Thomas Wall is a partner in The Syndicate and is a member of the firm's investment committee.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
KY
10/22/2024 - Present
Raymond James & Associates, Inc. (LOUISVILLE KY)
KY
01/22/1986 - 02/21/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOUISVILLE KY)
IA
Issued 11/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/19/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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