Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Vaughn Thomas has been in the financial industry since October 24, 2002. David is currently registered with LPL Financial LLC and has been in this role since January 2023. David has also been a registered representative with a number of other firms including Ameritas Investment Company, LLC, Cetera Advisor Networks LLC, BOK Financial Securities, Inc., Wells Fargo Advisors, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., and Bear, Stearns & Co. Inc. David is registered in 12 states including Arizona, District of Columbia, Florida, Georgia, Illinois, Kansas, New York, Ohio, Texas, and Virginia. David holds Series 7 and 66 securities licenses and a Series 63 license in Florida. David is experienced in providing financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars, 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.
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.
Consulting and other non-discretionary advisory services
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
FL
01/11/2023 - Present
LPL Financial LLC (PALMETTO FL)
TX
03/20/2020 - 01/26/2023
AMERITAS INVESTMENT COMPANY, LLC (Dallas TX)
TX
08/15/2016 - 03/23/2020
CETERA ADVISOR NETWORKS LLC (DALLAS TX)
TX
08/01/2013 - 09/15/2016
BOK FINANCIAL SECURITIES, INC. (RICHARDSON TX)
TX
11/06/2008 - 08/02/2013
WELLS FARGO ADVISORS, LLC (DALLAS TX)
TX
07/06/2005 - 11/07/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
NY
05/28/2004 - 07/20/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
08/11/2003 - 06/10/2004
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
10/16/2002 - 08/01/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 10/28/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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