Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Wagner is a financial professional with over 30 years of experience in the financial industry. He currently works for Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has held several roles with other firms including JP Morgan Securities LLC, Morgan Stanley, Citigroup Global Markets Inc., and Lehman Brothers Inc. Thomas is licensed to provide investment advice in New York and Texas. He is also a registered representative with FINRA. He holds licenses for Series 63, Series 66, Series 7, Series 8, Series 9, Series 10 and SIE. His specialties include providing financial planning, portfolio management for businesses and individuals, and investment advisory services.
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
NY
10/03/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
03/07/2016 - 11/06/2023
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
06/01/2009 - 03/28/2016
MORGAN STANLEY (NEW YORK NY)
NY
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/06/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 05/26/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/1992
Series 63 - Uniform Securities Agent 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 09/28/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/1992
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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