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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Theodore is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. Thomas has been in the financial services industry since 2007 and has worked with a variety of clients, including high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations. Thomas Theodore is registered with the Securities and Exchange Commission (SEC) as an investment advisor representative (IAR) and has passed the Series 66, Series 7, Series 9, Series 10, Series 24, Series 4, Series 52TO, and Series 53 exams. Thomas Theodore's primary office is located in Lincoln, Rhode Island.
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
RI
06/28/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)
MA
10/17/2012 - 03/25/2013
SANTANDER SECURITIES LLC (DORCHESTER MA)
RI
03/30/2011 - 10/18/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LINCOLN RI)
FL
01/19/2010 - 11/15/2010
LEGEND EQUITIES CORPORATION (PALM BEACH GARDENS FL)
FL
08/30/2006 - 10/13/2009
MUTUAL SERVICE CORPORATION (WEST PALM BEACH FL)
BOTH
Issued 12/07/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/22/2013
Series 4 - Registered Options Principal Examination
BC
Issued 04/27/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/16/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2006
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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