Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Capuano is an Investment Advisor Representative for Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since 1997. Thomas has a wide range of experience, with past positions at BANC of America Investment Services, Inc., QUICK & REILLY, INC., BROWN, LISLE/CUMMINGS, INC., and PRUDENTIAL SECURITIES INCORPORATED. Thomas is licensed in 53 states and the District of Columbia and holds the following licenses: Series 7, Series 9, Series 10, Series 24, Series 63, and Series 65. Thomas specializes in portfolio management for individuals and businesses, performance measurement reports, allocation modeling, investment policy statements (IPS), research reports and services, and the selection of other advisers.
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
NC
06/27/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
RI
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LINCOLN RI)
NY
06/08/2000 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
RI
11/02/1999 - 03/03/2000
BROWN, LISLE/CUMMINGS, INC. (PROVIDENCE RI)
NY
09/10/1997 - 04/12/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 06/05/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/29/2005
Series 24 - General Securities Principal Examination
BC
Issued 07/12/2001
Series 4 - Registered Options Principal Examination
BC
Issued 05/24/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/23/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/1997
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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