Mary Tompkins, financial advisor Mount Kisco NY
93 score

Mary Tompkins

CRD Number: 1047395
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mary Tompkins (CRD# 1047395) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Mount Kisco, NY and has over 16 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mount Kisco, NY Jul 2013 - Current 3
Bank Of America, N.a. Mount Kisco, NY Jul 2013 - Current 3
Morgan Stanley Smith Barney Mount Kisco, NY Jun 2009 - Jul 2013 4
Citigroup Global Markets Inc. Mt. Kisco, NY Feb 1993 - Jun 2009 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2000
S65 NASAA Investment Advisors Law Examination Mar 2007
Contact Info for Mary E. Tompkins
Phone Number: 800-637-7455
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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
Types of Clients
Registered States

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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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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