Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Liu is an experienced financial professional with over 30 years of experience in the financial industry. Thomas is currently registered with Bofa Securities, Inc. and is located in New York, NY. Prior to joining Bofa Securities, Inc., Thomas held positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA SECURITIES LLC, UBS SECURITIES LLC, UBS FINANCIAL SERVICES INC. and KIDDER, PEABODY & CO. INCORPORATED. Thomas holds a Series 7, Series 52TO, Series 53 and Series 63 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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
03/16/2009 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/30/2008 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
01/16/2006 - 07/01/2008
UBS SECURITIES LLC (NEW YORK NY)
NJ
01/16/1995 - 01/16/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
05/22/1992 - 12/20/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
11/29/1990 - 04/30/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 01/07/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/02/2007
Series 53 - Municipal 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 11/28/1990
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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