Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Duane? Claim Your ProfileDuane Thomas is a registered representative with Stifel, Nicolaus & Company, Inc. Duane has been in the securities industry for over 37 years and has been with Stifel, Nicolaus & Company, Inc. since September 1994. He is registered to offer securities in 42 states and the District of Columbia, and is also registered as an investment advisor in Missouri and Texas. Duane has a broad range of experience and specializes in portfolio management for individuals, businesses, and pooled investment vehicles. He also offers financial planning and pension consulting services.
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
MO
05/30/2003 - Present
Stifel, Nicolaus & Company, Inc. (CLAYTON MO)
NY
10/05/1992 - 09/16/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
09/24/1985 - 10/05/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 01/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/30/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/21/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/1987
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Duane Thomas is the right advisor for you? Invested Better is here to help.
