Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Tucker Dunbar is a financial advisor with over 30 years of experience in the financial services industry. Thomas currently works with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked with WELLS FARGO CLEARING SERVICES, LLC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Thomas is a licensed broker-dealer and investment advisor representative. He is registered in 15 states including California, Connecticut, Florida, Georgia, Illinois, Indiana, Kentucky, Louisiana, Nebraska, North Carolina, Pennsylvania, South Carolina, Tennessee, Virginia, and the District of Columbia. Thomas holds Series 7, Series 63, and Series 65 licenses as well as the Securities Industry Essentials (SIE) exam. Thomas provides a variety of services including financial planning, portfolio management for businesses and individuals, and pension consulting.
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
TN
11/01/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHATTANOOGA TN)
TN
02/27/2009 - 11/05/2019
WELLS FARGO CLEARING SERVICES, LLC (CHATTANOOGA TN)
TN
11/10/1993 - 03/04/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHATTANOOGA TN)
IA
Issued 12/08/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/1993
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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