Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Heptig is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. with over 15 years of experience in the industry. Thomas has held previous roles at HSBC Securities (USA) Inc., J.P. Morgan Securities LLC, UBS Securities LLC, Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc. Thomas is registered to provide investment advice in 24 states and the District of Columbia. Thomas has a wide range of experience in providing financial advice to individuals, corporations, and institutions. Thomas has a strong track record of success in helping clients achieve their financial goals.
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
07/06/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
04/10/2017 - 12/06/2021
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
07/03/2013 - 02/09/2017
J.P. MORGAN SECURITIES LLC (New York NY)
NY
08/26/2010 - 02/01/2013
UBS SECURITIES LLC (NEW YORK NY)
NY
09/23/2009 - 08/13/2010
MERRILL LYNCH PROFESSIONAL CLEARING CORP. (NEW YORK NY)
NY
08/25/2009 - 08/13/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/09/2006 - 08/21/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 01/12/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/27/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/14/2006
Series 3 - National Commodity Futures Examination
BC
Issued 10/07/2006
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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