Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judy? Claim Your ProfileJudy Kay Thomas is a financial advisor at Wells Fargo Clearing Services, LLC, with over 29 years of experience in the financial services industry. Judy has been registered with the firm since August 11, 2006. Prior to that, Judy was with Morgan Stanley DW Inc. and U.S. Bancorp Piper Jaffray Inc. Judy has passed a number of industry exams and holds licenses in multiple states.
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.
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.
Investment consulting services to institutional clients
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
KS
08/11/2006 - Present
Wells Fargo Clearing Services, LLC (TOPEKA KS)
KS
02/22/2000 - 08/15/2006
MORGAN STANLEY DW INC. (OVERLAND PARK KS)
MN
09/21/1993 - 03/13/2000
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
IA
Issued 04/27/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/11/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/26/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/26/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 09/20/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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