Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Duane Tom is a financial advisor with RBC Capital Markets, LLC in Seattle, WA. Philip has been in the financial services industry since April 1983. Prior to joining RBC Capital Markets, LLC Philip worked at WELLS FARGO ADVISORS, LLC. Philip has a Series 63, Series 65, Series 3, Series 7, and SIE license. Philip specializes in providing financial planning, pension consulting, educational seminars, selection of other advisers, and portfolio management for businesses, individuals, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
WA
04/29/2015 - Present
RBC Capital Markets, LLC (SEATTLE WA)
WA
07/01/2003 - 04/30/2015
WELLS FARGO ADVISORS, LLC (SEATTLE WA)
NY
01/04/1988 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
05/14/1988 - 08/16/1988
SHEARSON LEHMAN HUTTON INC.
NA
04/19/1983 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 09/29/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/22/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/1983
Series 3 - National Commodity Futures Examination
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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