Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Gale Thomas is a financial advisor with over 40 years of experience in the industry. Joseph is currently registered with Raymond James Financial Services Advisors, Inc. in both Alabama and North Carolina. Joseph previously worked at A. G. EDWARDS & SONS, INC. and CAROLINA SECURITIES CORPORATION. Joseph holds Series 3, 7, 8, 9, 10, 63, and 66 licenses, as well as the SIE exam. Joseph is a registered investment advisor representative and offers a range of services including financial planning, portfolio management, pension consulting, and educational seminars.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
NC
01/02/2009 - Present
Raymond James Financial Services Advisors, Inc. (ASHEBORO NC)
NC
03/04/1987 - 09/05/2007
A. G. EDWARDS & SONS, INC. (ASHEBORO NC)
NA
04/29/1982 - 03/12/1987
CAROLINA SECURITIES CORPORATION
BOTH
Issued 04/29/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/16/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/25/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/1994
Series 3 - National Commodity Futures Examination
BC
Issued 04/17/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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