Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas McGimpsey is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has been working in the financial industry since 2005. Thomas is registered with the state of New York and Texas as an investment advisor representative and holds the following licenses: Series 7, 63, 65, 66, and 24. Thomas works with individuals, corporations, businesses, pension plans, insurance companies, charitable organizations, and high-net-worth individuals. Thomas specializes in portfolio management, financial planning, and other investment related services.
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
07/23/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MIDDLETOWN NY)
NY
06/08/2005 - 05/22/2013
M&T SECURITIES, INC. (FISHKILL NY)
NY
04/29/1996 - 07/22/1996
VTR CAPITAL, INC. (NEW YORK NY)
BOTH
Issued 06/18/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/12/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2006
Series 24 - General Securities Principal Examination
BC
Issued 05/18/2021
Series 7TO - General Securities Representative Examination
BC
Issued 02/27/2020
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2005
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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