Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Thomas is a financial advisor who has been in the industry since 1993. He is currently registered with Cetera Investment Advisers LLC and has been with them since December 2016. Richard has previously worked with a number of firms, including Compulife Investor Services, Inc., First Hanover Securities, Inc., Thomas James Associates, Inc., Hibbard Brown & Co., Inc., and Westfield Financial Corporation. Richard holds both a Series 7 and Series 63 license and is currently registered in Arizona, Florida, Maryland, Massachusetts, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, and Virginia. Richard provides a wide range of advisory services, including financial planning, pension consulting, and portfolio management for individuals and businesses. He is also able to select other advisors for clients as needed.
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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2
NJ
12/23/2016 - Present
Cetera Investment Advisers LLC (POINT PLEASANT NJ)
MN
04/26/1996 - 06/06/2001
COMPULIFE INVESTOR SERVICES, INC. (ST. CLOUD MN)
NY
10/04/1994 - 11/21/1995
FIRST HANOVER SECURITIES, INC. (STATEN ISLAND NY)
NY
08/19/1994 - 10/11/1994
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
NY
02/01/1993 - 09/15/1994
HIBBARD BROWN & CO., INC. (NEW YORK NY)
NY
08/05/1994 - 08/19/1994
WESTFIELD FINANCIAL CORPORATION (NEW YORK NY)
IA
Issued 12/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/15/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/29/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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