Thomas Gardner
Thomas Gardner is a CFP-designated registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Houston, TX, with 26 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
15375 Memorial Dr, Houston, TX, 77079
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas is an independent insurance agent selling life, health, and disability insurance, dedicating about 5% of his time to this. He also receives residual commissions from insurance sold during his previous employment as a career insurance agent with New England Financial from 1999 to 2004.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
LPL Financial LLCBroker
LPL Financial LLC
Fsc Securities Corporation
Fsc Securities CorporationBroker
Advantage Capital Corporation
Advantage Capital CorporationBroker
New England Securities Corporation
New England SecuritiesBroker
State Registrations20 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.