Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Patrick North is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas is a licensed professional with over 20 years of experience in the financial services industry. Thomas has been with Merrill Lynch since 2010 and has held various positions in the firm. Thomas has worked in various capacities for AXA Advisors, LLC, CIBC World Markets Corp., Fleet Securities, Inc., and Fleet Brokerage Securities, Inc. He has extensive experience in providing financial advice and investment management services to individuals, businesses, and institutions. Thomas holds multiple licenses including Series 7, 9, 10, 25, 63 and 66.
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
NJ
11/08/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NJ
12/18/2008 - 10/18/2010
AXA ADVISORS, LLC (EDISON NJ)
NY
01/24/2000 - 12/13/2007
CIBC WORLD MARKETS CORP. (NEW YORK NY)
TX
03/11/1998 - 01/21/2000
FLEET SECURITIES, INC. (DALLAS TX)
NY
12/16/1997 - 03/04/1998
FLEET BROKERAGE SECURITIES, INC. (NEW YORK NY)
BOTH
Issued 02/04/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/21/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/28/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/13/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1999
Series 25 - NYSE Trading Assistant Examination
BC
Issued 12/15/1997
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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