Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lawrence Thomas is a financial advisor with over 30 years of experience in the industry. David Thomas is currently registered with Stifel, Nicolaus & Company, Inc. and has previously worked for UBS Financial Services Inc., Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Paine Webber Incorporated, Smith Barney Inc., and Lehman Brothers Inc. David Thomas is licensed to provide investment advisory services in multiple states, including Texas, Florida, Georgia, and New York. David Thomas specializes in providing financial planning, portfolio management, and pension consulting services to individuals and businesses.
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
TX
10/06/2023 - Present
Stifel, Nicolaus & Company, Inc. (BEAUMONT TX)
TX
07/05/2013 - 10/17/2023
UBS FINANCIAL SERVICES INC. (BEAUMONT TX)
TX
06/01/2009 - 07/24/2013
MORGAN STANLEY (BEAUMONT TX)
TX
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (HOUSTON TX)
TX
08/23/1999 - 04/02/2007
MORGAN STANLEY DW INC. (HOUSTON TX)
NJ
07/18/1994 - 09/03/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/31/1993 - 08/04/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/21/1987 - 02/15/1988
E. F. HUTTON & COMPANY INC
BC
Issued 01/30/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1987
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/1987
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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