Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Louis Grilli is a financial advisor with Ameriprise Financial Services, LLC. Thomas has been working in the financial services industry since January 6, 2001. He is registered in 15 states and offers a range of services including financial planning, pension consulting, educational seminars, and portfolio management for both individuals and businesses. He has a long history in the financial services industry, having worked for multiple firms including Riversource Distributors, Inc., Capital Brokerage Corporation, XTF Capital LLC, NYLIFE Distributors LLC, Levco Securities, Inc., Neuberger Berman, LLC, Eaton Vance Distributors, Inc., and Equity Services, Inc. Thomas holds Series 6, 7, 63, 65, and 66 licenses.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Asset allocation 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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CT
05/27/2022 - Present
Ameriprise Financial Services, LLC (East Hartford CT)
MN
05/27/2011 - 04/26/2022
RIVERSOURCE DISTRIBUTORS, INC. (MINNEAPOLIS MN)
VA
04/16/2008 - 01/24/2011
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
SD
03/08/2007 - 03/13/2008
XTF CAPITAL LLC (BRANDON SD)
NY
07/13/2006 - 03/19/2007
NYLIFE DISTRIBUTORS LLC (NEW YORK NY)
NY
07/31/2002 - 07/12/2006
LEVCO SECURITIES, INC. (NEW YORK NY)
NY
05/15/2006 - 06/06/2006
NEUBERGER BERMAN, LLC (NEW YORK NY)
MA
02/07/2001 - 07/22/2002
EATON VANCE DISTRIBUTORS, INC. (BOSTON MA)
VT
09/17/1999 - 04/20/2000
EQUITY SERVICES, INC. (MONTPELIER VT)
BOTH
Issued 05/27/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/24/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/23/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/2000
Series 7 - General Securities Representative Examination
BC
Issued 09/16/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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