Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Thomas is a financial advisor registered with Stifel, Nicolaus & Company, Inc. David has been in the industry since 1991 and has a broad range of experience. David is registered with the state of Michigan as an Investment Advisor Representative and a Registered Representative, and is also registered as a Registered Representative in Texas. David holds Series 7, 63 and 65 securities licenses, along with the SIE exam.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
1
2
MI
06/04/2018 - Present
Stifel, Nicolaus & Company, Inc. (PORT HURON MI)
MI
01/01/2008 - 06/04/2010
WELLS FARGO ADVISORS, LLC (PORT HURON MI)
MI
06/03/1991 - 01/03/2008
A. G. EDWARDS & SONS, INC. (PORT HURON MI)
IA
Issued 01/30/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/18/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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