Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Aguna is a financial advisor with Morgan Stanley. Thomas has been in the industry since 2009. He holds Series 6, 7, and 66 licenses. Thomas has been registered with Morgan Stanley since 2020. Prior to that, he was registered with J.P. Morgan Securities LLC and Chase Investment Services Corp. Thomas specializes in providing financial planning, asset allocation advice, and portfolio management services. He is registered in 38 states and 2 jurisdictions.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
06/05/2020 - Present
Morgan Stanley (Brea CA)
CA
10/01/2012 - 06/11/2020
J.P. MORGAN SECURITIES LLC (NEWPORT BEACH CA)
CA
10/29/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEWPORT BEACH CA)
BOTH
Issued 08/31/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/17/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/2015
Series 7 - General Securities Representative Examination
BC
Issued 10/28/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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