Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Koppinger is a financial advisor with over 30 years of experience in the industry. Thomas has a strong track record of providing investment advice to a variety of clients, including high-net-worth individuals, corporations, and institutions. Thomas is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked at J.P. Morgan Securities LLC, Citigroup Global Markets Inc., Morgan Stanley Smith Barney, and Lehman Brothers Inc. Thomas holds multiple licenses and certifications including Series 3, 7, 9, 10, 31, and 63, 65 and SIE.
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
MO
01/06/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SPRINGFIELD MO)
NY
08/08/2014 - 09/03/2019
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
12/10/2009 - 04/02/2014
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
06/01/2009 - 07/23/2009
MORGAN STANLEY SMITH BARNEY (PURCHASE NY)
CT
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (STAMFORD CT)
NY
02/04/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 02/24/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/08/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/22/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 08/16/2021
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2011
Series 3 - National Commodity Futures Examination
BC
Issued 02/01/1991
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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