Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas McCormick is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas is a financial professional with over 11 years of experience in the financial industry. Thomas specializes in providing investment advice and services to individuals, corporations, businesses, pension and profit-sharing plans, and insurance companies. Thomas has a wide range of experience in the financial services industry, including investment management, financial planning, and retirement planning. Thomas is committed to providing personalized financial advice and services to meet the unique needs of each client. Thomas is registered with the Securities and Exchange Commission (SEC) and holds Series 66 and Series 7 licenses. Thomas has a bachelor's degree in finance from a four-year college or university. Thomas also holds the SIE license. Thomas is registered with the following states: Colorado, Connecticut, Florida, Georgia, Illinois, Maine, Maryland, Massachusetts, Minnesota, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, South Carolina, South Dakota, Tennessee, Texas, Virginia, and Washington.
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
NY
08/20/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARATOGA SPRINGS NY)
BOTH
Issued 03/27/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2011
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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