Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marshall? Claim Your ProfileMarshall J. Thomas is a financial advisor in Seattle, WA. Marshall has been in the industry since October 2002. Marshall is currently registered with Cetera Investment Advisers LLC, and previously was registered with LPL FINANCIAL LLC and Northwestern Mutual Investment Services, LLC. Marshall is a Series 6, Series 7 and Series 63 licensed advisor. Marshall also holds a Series 65 license and the SIE exam.
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.
A percentage of the total value of assets under management is charged.
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WA
03/21/2024 - Present
Cetera Investment Advisers LLC (SEATTLE WA)
WA
11/02/2010 - 05/15/2023
LPL FINANCIAL LLC (SEATTLE WA)
WA
10/15/2002 - 10/19/2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SEATTLE WA)
IA
Issued 04/17/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2006
Series 7 - General Securities Representative Examination
BC
Issued 10/14/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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