Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Fred? Claim Your ProfileFred William Thomas is a financial advisor with over 20 years of experience in the industry. Fred is currently registered with Leigh Baldwin & Co., LLC and holds a Series 3, 7, 63 and 65. Fred has previously worked for Pinnacle Investments, LLC, UBS Financial Services Inc., HSBC Securities (USA) Inc., Goldman, Sachs & Co., Mercer Allied Company, L.P., and Abel/Noser Corp. Fred has experience working with clients of all types, including high-net-worth individuals, corporations, and individuals other than high-net-worth. Fred specializes in providing financial planning services, selecting other advisors, and portfolio management for individuals.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Solicitor/referral fees from other ria's
1
2
NY
03/29/2024 - Present
Leigh Baldwin & CO., LLC (FAYETTEVILLE NY)
NY
03/09/2009 - 01/03/2012
PINNACLE INVESTMENTS, LLC (EAST SYRACUSE NY)
NY
09/07/2007 - 03/17/2009
UBS FINANCIAL SERVICES INC. (DEWITT NY)
NY
05/29/2007 - 09/10/2007
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
09/22/2003 - 05/31/2005
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
02/06/2003 - 12/11/2003
MERCER ALLIED COMPANY, L.P. (COHOES NY)
NA
05/22/1986 - 09/01/1989
ABEL/NOSER CORP.
BC
Issued 05/20/2003
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/05/1990
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2004
Series 3 - National Commodity Futures Examination
BC
Issued 02/05/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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