Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Thomas is a financial advisor with Principal Securities, Inc. with over 20 years of experience in the financial industry. Gregory has been with Principal Securities, Inc. since June 2021, previously working with WELLS FARGO CLEARING SERVICES, LLC and TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC. Gregory holds several licenses and certifications including Series 63, Series 6TO, SIE, and Series 6. Gregory provides financial planning, pension consulting, and educational seminars 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.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NC
06/08/2021 - Present
Principal Securities, Inc. (Charlotte NC)
NC
10/14/2019 - 05/20/2021
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
04/28/1997 - 09/21/2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
NY
09/19/1995 - 09/05/1996
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
MA
09/19/1995 - 09/20/1995
METLIFE SECURITIES INC. (SPRINGFIELD MA)
AZ
11/19/1989 - 06/10/1994
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
02/13/1989 - 11/19/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
12/10/1986 - 08/23/1988
FIRST INVESTORS CORPORATION
BC
Issued 11/26/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/14/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/23/2019
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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