Thomas Finney
Thomas Finney is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Hunt Valley, MD, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
11333 Mccormick Rd, Hunt Valley, MD, 21031
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Thomas is a member of the GBMC Philanthropy Committee, dedicating minimal time monthly to raising funds for the hospital's endowment and foundation. He also serves on the audit and finance committee for Goodwill Industries of the Chesapeake, dedicating minimal time quarterly to review operations and manager performance for their endowment funds.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Wilmington Brokerage Services Company
Wilmington Brokerage Services CompanyBroker
Suntrust Securities, INC.Broker
Crestar Securities CorporationBroker
Alex. Brown & Sons IncorporatedBroker
First Maryland Brokerage CorporationBroker
T. Rowe Price Investment Services, INC.Broker
State Registrations30 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.