Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Thomas is a registered representative with Raymond James & Associates, Inc. Sarah has 14 years of experience in the securities industry. Sarah is a Series 7 and Series 66 licensed individual. She is also registered in the state of Alabama. Prior to joining Raymond James & Associates, Inc. Sarah worked at Wells Fargo Clearing Services, LLC, ProEquities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Please see note in schedule d - miscellaneous
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
AL
04/26/2022 - Present
Raymond James & Associates, Inc. (Warrior AL)
AL
12/12/2016 - 04/21/2022
WELLS FARGO CLEARING SERVICES, LLC (BIRMINGHAM AL)
AL
01/09/2015 - 12/12/2016
PROEQUITIES, INC. (BIRMINGHAM AL)
AL
07/09/2013 - 09/08/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BIRMINGHAM AL)
AL
03/04/2008 - 06/24/2013
WELLS FARGO ADVISORS, LLC (BIRMINGHAM AL)
BOTH
Issued 02/02/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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