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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tom? Claim Your ProfileTom Wang is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Tom has been working in the financial industry since 1997. Tom has a wide range of experience in the financial industry, having previously worked for firms such as U.S. Bancorp Investments, Inc., Essex National Securities, Inc., Citigroup Investment Services, Gateway Investment Services, Inc., and Fortis Investors, Inc. Tom is currently registered with the state of California and Texas as a broker-dealer and investment advisor representative. Tom holds the Series 6, 7TO, 63, and 66 licenses. Tom is a highly experienced and qualified financial advisor who can help individuals and families with their financial planning and investment needs.
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
CA
03/03/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CA
04/03/2015 - 08/21/2019
U.S. BANCORP INVESTMENTS, INC. (SOUTH PASADENA CA)
CA
03/15/2010 - 01/06/2012
U.S. BANCORP INVESTMENTS, INC. (GLENDALE CA)
CA
09/15/2003 - 03/30/2010
ESSEX NATIONAL SECURITIES, INC. (GLENDALE CA)
NY
01/12/2004 - 01/20/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IL
09/02/1997 - 09/15/2003
GATEWAY INVESTMENT SERVICES, INC. (OAK PARK IL)
MN
04/21/1995 - 07/07/1997
FORTIS INVESTORS, INC. (OAKDALE MN)
BOTH
Issued 01/09/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/18/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/01/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2015
Series 6 - Investment Company Products/Variable Contracts 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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