Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas James Nubel is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Nubel has been in the industry for over 20 years, and has experience working with a wide range of clients, including high-net-worth individuals, corporations, insurance companies, charitable organizations, and pension and profit sharing plans. Nubel's previous experience includes time spent with Banc of America Investment Services, Inc. Nubel holds a Series 6, Series 7, Series 26, Series 63, and Series 66 securities license.
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
NV
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RENO NV)
NV
06/01/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LAS VEGAS NV)
NV
06/15/2000 - 11/30/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (HENDERSON NV)
BOTH
Issued 07/17/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/17/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2007
Series 7 - General Securities Representative Examination
BC
Issued 06/14/2000
Series 6 - Investment Company Products/Variable Contracts 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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