Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Thoman is a financial advisor with over 20 years of experience in the industry. Matthew is currently registered with Wells Fargo Clearing Services, LLC and has previously held positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Matthew is licensed to provide investment advice in several states including Arizona, Arkansas, California, Florida, Georgia, Illinois, Louisiana, Massachusetts, Nevada, New York, Texas, and Utah. Matthew holds several professional designations including Certified Financial Planner.
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.
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2
CA
12/13/2019 - Present
Wells Fargo Clearing Services, LLC (LOS ANGELES CA)
CA
11/30/2011 - 12/16/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BEVERLY HILLS CA)
CA
06/01/2009 - 12/19/2011
MORGAN STANLEY SMITH BARNEY (BEVERLY HILLS CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LOS ANGELES CA)
CA
10/08/2001 - 04/02/2007
MORGAN STANLEY DW INC. (LOS ANGELES CA)
MN
12/24/1998 - 09/12/2001
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
BOTH
Issued 12/12/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/04/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/19/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/29/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/14/1999
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 11/12/2001
Series 7 - General Securities Representative Examination
BC
Issued 12/18/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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