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Tinu Thompson

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Tinu Thompson

Tinu Thompson is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., working in the Chicago, IL office. Tinu has been working in the financial industry since 2006. Tinu has earned licenses for Series 6, 7, 9, 10, 31 and 63, and has passed the SIE exam. Tinu's previous work experience includes roles at PNC INVESTMENTS, CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, J.P. MORGAN SECURITIES INC., CHASE INVESTMENT SERVICES CORP., and BANC ONE SECURITIES CORPORATION.

Firm Information

Tinu Thompson is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

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.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Tinu Thompson’s Registration & Firm History

IL

01/18/2018 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)

IL

06/18/2015 - 09/29/2015

PNC INVESTMENTS (CHICAGO IL)

IL

10/02/2012 - 09/30/2014

PNC INVESTMENTS (CHICAGO IL)

IL

05/29/2007 - 09/24/2012

CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)

IL

10/30/2006 - 05/29/2007

CITICORP INVESTMENT SERVICES (CHICAGO IL)

IL

07/01/2006 - 10/05/2006

J.P. MORGAN SECURITIES INC. (CHICAGO IL)

IL

07/06/2005 - 10/02/2006

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

IL

09/12/2005 - 07/01/2006

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

IL

08/05/2004 - 07/06/2005

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 01/17/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/22/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/08/2018

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/17/2018

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/08/2019

Series 31 - Futures Managed Funds Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/14/2017

Series 7 - General Securities Representative Examination

BC

Issued 08/04/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Tinu Thompson.
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