Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Allardice has been in the financial services industry since June 1998. Thomas is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Thomas was employed with Rockefeller Financial LLC. Thomas has a broad range of experience in the financial services industry. Thomas holds multiple licenses including Series 3, 4, 7, 9, 10, 24, 52TO, 53, 63 and 65.
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
06/13/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NJ
08/16/2021 - 03/23/2022
ROCKEFELLER FINANCIAL LLC (Hamilton Township NJ)
NJ
04/02/1998 - 08/16/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
IA
Issued 10/30/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/09/2017
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/15/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/11/2012
Series 24 - General Securities Principal Examination
BC
Issued 08/02/2001
Series 4 - Registered Options 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 04/17/2014
Series 3 - National Commodity Futures Examination
BC
Issued 04/01/1998
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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