Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Maher is an Investment Advisor Representative at Merrill Lynch, Pierce, Fenner & Smith Inc. in Yardley, PA. Thomas has been in the industry since 1997. Thomas is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Thomas has passed the Series 63, Series 65, Series 7 and SIE exams. Thomas has held prior positions at MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC. Thomas is also registered to provide advisory services in multiple states.
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
PA
08/04/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (YARDLEY PA)
PA
06/01/2009 - 07/01/2009
MORGAN STANLEY SMITH BARNEY (NEWTOWN PA)
PA
11/14/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEWTOWN PA)
NY
03/04/1997 - 11/16/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/08/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/09/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/1997
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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