Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Slater is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. He has been a registered representative since 2012 and has been in the industry since 1998. Thomas is registered to offer securities in Arkansas, California, Colorado, Florida, Georgia, Illinois, Maryland, Missouri, Nevada, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Tennessee, Texas, Washington, and Wyoming. Thomas has earned the Series 3, Series 7, Series 30, Series 63, Series 65, and Series 66 licenses. He is a licensed investment advisor representative in Texas. Thomas has experience with a variety of clients, including individuals, corporations, charitable organizations, insurance companies, and pension and profit-sharing plans. He specializes in providing portfolio management, investment advisory, and financial planning services.
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
TX
03/15/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FRISCO TX)
IL
03/03/2004 - 12/31/2004
LASALLE ST SECURITIES, L.L.C. (ELMHURST IL)
IL
05/26/1999 - 03/08/2004
PEREGRINE FINANCIALS & SECURITIES, INC. (CHICAGO IL)
CA
01/26/1999 - 06/15/1999
AMERICAN INCOME SECURITIES (SANTA ANA CA)
CA
02/19/1998 - 07/17/1998
HAGERTY, STEWART & ASSOCIATES, INC. (SAN DIEGO CA)
NY
01/26/1994 - 03/28/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 03/13/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/26/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/23/1999
Series 30 - NFA Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2012
Series 7 - General Securities Representative Examination
BC
Issued 07/17/1992
Series 3 - National Commodity Futures 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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