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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Ryan Ferraro is an investment professional with over 15 years of experience in the financial services industry. Thomas is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as an Investment Advisor Representative, and has a strong track record of providing investment advice and portfolio management services to a wide range of clients. Thomas holds several industry licenses and designations, including the Series 7, 6, 63, and 65. Thomas has previously worked at Wells Fargo Advisors, LLC and UBS Financial Services Inc.
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
01/11/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
SC
08/01/2016 - 03/11/2021
WELLS FARGO CLEARING SERVICES, LLC (MOUNT PLEASANT SC)
SC
07/08/2015 - 11/11/2015
SECURIAN FINANCIAL SERVICES, INC. (DANIEL ISLAND SC)
SC
12/18/2014 - 07/01/2015
WELLS FARGO ADVISORS, LLC (MOUNT PLEASANT SC)
NJ
02/18/2014 - 08/01/2014
ADP BROKER-DEALER, INC. (ROSELAND NJ)
NY
04/27/2010 - 03/03/2011
MILLER TABAK + CO., LLC (NEW YORK NY)
NJ
10/13/2008 - 06/04/2009
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
09/29/2003 - 03/05/2008
INGALLS & SNYDER, LLC (NEW YORK NY)
NY
10/08/2002 - 09/26/2003
DMR SECURITIES INC. (NEW YORK NY)
NY
10/01/2000 - 10/07/2002
FARINA & ASSOCIATES, INC. (NEW YORK NY)
IA
Issued 07/30/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2015
Series 7 - General Securities Representative Examination
BC
Issued 02/18/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/19/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/29/2002
Series 7A - Floor Broker Representative Exam
BC
Issued 08/28/2001
Series 25 - NYSE Trading Assistant 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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