Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Thompson is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Thomas has been in the industry since 1983. Thomas has been a registered representative of Merrill Lynch since 1983. Thomas is licensed in 36 states and is a registered Investment Adviser in Texas. Thomas specializes in providing portfolio management for individuals and businesses, and has experience in pension consulting and providing performance measurement reports and allocation modeling services. Thomas also has experience in other areas such as selection of other advisors, educational seminars and research reports. Thomas is a member of the Texas Tech Equestrian Center advisory board.
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
08/23/1983 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LUBBOCK TX)
IA
Issued 06/03/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/02/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/21/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 07/13/1983
Series 3 - National Commodity Futures Examination
BC
Issued 05/21/1983
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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