Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ben? Claim Your ProfileBen Edward Thomas is a financial advisor with over 20 years of experience in the financial services industry. Ben is registered with Wells Fargo Clearing Services, LLC and holds Series 7, Series 66 and SIE licenses. Ben has been working with Wells Fargo Clearing Services, LLC since May 2009. Prior to that, Ben has worked with Morgan Keegan & Company, Inc., RBC Dain Rauscher Inc. and American Express Financial Advisors Inc. Ben offers financial planning, portfolio management for individuals and businesses, investment consulting services to institutional clients, and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
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2
TX
05/27/2009 - Present
Wells Fargo Clearing Services, LLC (DALLAS TX)
TX
10/29/2004 - 06/04/2009
MORGAN KEEGAN & COMPANY, INC. (DALLAS TX)
NY
04/19/2002 - 11/11/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MN
01/23/2002 - 02/19/2002
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/23/2002 - 02/19/2002
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 02/05/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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