Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tom? Claim Your ProfileTom Tartt Brown III is a registered investment advisor representative at Morgan Stanley. Tom has been working in the financial industry since August 2013. Tom has Series 7 and Series 66 licenses and the SIE exam. Tom specializes in asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, individuals, and investment companies. Tom has been registered with Sterne, Agee & Leach, Inc. and Stifel, Nicolaus & Company, Incorporated. Tom is currently also an advisory board member of the Rudolph Companies.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AL
04/15/2020 - Present
Morgan Stanley (Birmingham AL)
AL
07/07/2015 - 06/13/2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED (BIRMINGHAM AL)
AL
08/29/2013 - 07/07/2015
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
BOTH
Issued 08/21/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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