Thomas Gibbons
CRD Number: 1211925Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Compensation Model: Both
Thomas Gibbons (CRD# 1211925) is a Vice President/ Senior Financial Advisor working at Merrill Lynch, Pierce, Fenner & Smith Incorporated, located in Florham Park, NJ, and has over 34 years of experience in the finance industry.
CRD# 5973991
Cfs Investment Advisory Services LLC
Score
107
CRD# 5366446
Legacy Care Wealth, LLC
Score
107
CRD# 4276969
SRI Investing
Score
107
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Bank Of America, N.a. | Florham Park, NJ | Dec 2009 - Current | 7 |
| Merrill Lynch, Pierce, Fenner & Smith | Florham Park, NJ | Apr 2008 - Current | 9 |
| Citigroup Global Markets Inc. | Florham Park, NJ | Feb 2003 - Apr 2008 | 5 |
| Merrill Lynch, Pierce, Fenner & Smith | Florham Park, NJ | Dec 1984 - Feb 2003 | 18 |
| Dean Witter Reynolds | New York, NY | Jun 1982 - Dec 1984 | 2 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Dec 1983 |
| S65 | NASAA Investment Advisors Law Examination | Jun 2003 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Financial Issue
- Customer Dispute
- NJ
- TX
- CT
- MA
- CA
- ME
- FL
- NY
- PA
- SC
- NC
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Total Assets Under Management575,342MILLIONS
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Total Number of Accounts1,715,259ACCOUNTS
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Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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