Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas J. Stergiou is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has been in the financial services industry since 2002. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Thomas was a registered representative with Morgan Stanley and Citigroup Global Markets Inc. Thomas holds a Series 7, Series 10, Series 24, Series 63, and Series 65 licenses.
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
NJ
03/24/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JERSEY CITY NJ)
NY
06/01/2009 - 09/06/2013
MORGAN STANLEY (PURCHASE NY)
NY
12/06/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 01/04/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/14/2014
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2001
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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