Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas R. Occhiogrosso is an active Registered Representative and Investment Advisor Representative. Thomas has been in the industry since 1998 and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has previously worked for HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. and HERZOG, HEINE, GEDULD, LLC. Thomas has passed the Series 63, Series 66, Series 7, Series 55 and SIE exams. Thomas holds licenses in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin and Wyoming.
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
FL
06/30/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JACKSONVILLE FL)
NY
09/30/2004 - 02/14/2005
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (NEW YORK NY)
NY
06/06/1991 - 10/11/2002
HERZOG, HEINE, GEDULD, LLC (NEW YORK NY)
BOTH
Issued 06/18/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/04/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2010
Series 7 - General Securities Representative Examination
BC
Issued 01/11/1999
Series 55 - Limited Representative-Equity Trader Exam
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
Not sure Thomas Occhiogrosso is the right advisor for you? Invested Better is here to help.
