Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Michael Witte is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has been in the securities industry since August 25, 2006. Thomas has previously worked at BANC OF AMERICA SECURITIES LLC. Thomas is registered in Alaska, Oregon, Texas, and Washington. Thomas is a registered investment advisor representative in Texas and Washington. Thomas holds the Series 63, Series 65, Series 7, Series 24, SIE, and Series 79TO 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.
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
WA
09/16/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SEATTLE WA)
NY
08/25/2006 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
IA
Issued 09/15/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/30/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/26/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/2006
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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